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Benjamin Kane Lathrop

Bailard, Inc.

Foster City, CA

Larchmont, NY

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Current Employers
Bailard, Inc.

950 Tower Ln Ste 1900, Foster City, CA 94404-2131 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-09-21
CA RA APPROVED 2019-10-28
  • NY RA
    APPROVED
    Since 2021-09-21
  • CA RA
    APPROVED
    Since 2019-10-28

Branch Locations

950 Tower Ln Ste 1900, Foster City, CA 94404-2131 • United States

Larchmont, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Franklin Templeton Investments New York NY 01/2014 06/2017
Unemployed New York NY 06/2017 11/2018
Newoak Capital Markets Llc New York NY 11/2018 06/2019
Bailard Inc Foster City CA 06/2019 Present
  • 01/2014 → 06/2017
    Franklin Templeton Investments
    New York, NY
  • 06/2017 → 11/2018
    Unemployed
    New York, NY
  • 11/2018 → 06/2019
    Newoak Capital Markets Llc
    New York, NY
  • 06/2019 → Present
    Bailard Inc
    Foster City, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-10-28
S63 Uniform Securities Agent State Law Examination 2019-03-06
S66 Uniform Combined State Law Examination 2007-08-15
  • S65 Uniform Investment Adviser Law Examination
    2019-10-28
  • S63 Uniform Securities Agent State Law Examination
    2019-03-06
  • S66 Uniform Combined State Law Examination
    2007-08-15

View on SEC IAPD

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Other Offices

CITIGROUP GLOBAL MARKETS INC. · Foster City, CA
U.S. BANCORP ADVISORS, LLC · Foster City, CA
J.P. MORGAN SECURITIES LLC · SAN MATEO, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FOSTER CITY, CA
SUMMITRY, LLC · FOSTER CITY, CA
J.P. MORGAN SECURITIES LLC · FOSTER CITY, CA
WELLS FARGO CLEARING SERVICES, LLC · FOSTER CITY, CA
CELESTA · SAN MATEO, CA

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