Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Benjamin? Claim Your ProfileBenjamin James Haffner is a financial professional with over 10 years of experience in the securities industry. Benjamin is currently registered with Alps Distributors, Inc. and is a Series 7, Series 24 and Series 63 licensed professional. Benjamin has held previous roles with firms such as IMST DISTRIBUTORS, LLC, AMG DISTRIBUTORS, INC., CHARLES SCHWAB & CO., INC. and FIRST EMPIRE SECURITIES, INC. Benjamin is currently licensed in 33 states and is active in both broker-dealer and investment advisor roles.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
01/03/2023 - Present
Alps Distributors, Inc. (Port Chester NY)
NY
11/14/2019 - 12/31/2022
IMST DISTRIBUTORS, LLC (Port Chester NY)
CT
08/25/2016 - 10/29/2019
AMG DISTRIBUTORS, INC. (STAMFORD CT)
NY
04/26/2013 - 07/14/2016
CHARLES SCHWAB & CO., INC. (BROOKLYN NY)
NY
02/02/2012 - 03/22/2013
FIRST EMPIRE SECURITIES, INC. (HAUPPAUGE NY)
BC
Issued 04/05/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/11/2024
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/01/2012
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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