Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Benjamin? Claim Your ProfileBenjamin Chiu is a financial professional with over 17 years of experience in the industry. Benjamin currently holds registrations with Wells Fargo Securities, LLC and Wells Fargo Prime Services, LLC. Benjamin has held previous registrations with Barclays Capital Inc., Merlin Securities, LLC, and Morgan Stanley & Co. Incorporated. Benjamin has a broad range of experience in the financial services industry and is committed to providing his clients with personalized financial advice and solutions.
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
01/21/2016 - Present
Wells Fargo Securities, LLC (New York NY)
NY
03/23/2010 - 12/08/2011
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
03/16/2009 - 03/15/2010
MERLIN SECURITIES, LLC (NEW YORK NY)
CA
12/06/2005 - 02/13/2009
MORGAN STANLEY & CO. INCORPORATED (SAN FRANCISCO CA)
BC
Issued 03/20/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/11/2019
Series 24 - General Securities Principal Examination
BC
Issued 07/19/2024
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/05/2005
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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