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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Benjamin? Claim Your ProfileBenjamin Christian Schroder is a financial advisor with UBS Financial Services Inc. in Irvine, CA. Benjamin has been in the financial services industry since 1998. Benjamin has experience with a range of financial products and services, including investment planning, retirement planning, and college savings. Benjamin is registered to provide investment advice in California and Texas.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
10/30/2018 - Present
UBS Financial Services Inc. (IRVINE CA)
CA
03/22/2004 - 10/31/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEWPORT BEACH CA)
CA
11/13/2002 - 03/12/2004
NEXCORE CAPITAL, INC. (SAN DIEGO CA)
CA
03/28/2000 - 12/20/2002
INTREPID SECURITIES, INC. (TORRANCE CA)
NY
06/25/2002 - 10/21/2002
BASIC INVESTORS INC. (MELVILLE NY)
CA
05/07/1998 - 03/22/2000
PROVIDENTIAL SECURITIES, INC. (FOUNTAIN VALLEY CA)
BOTH
Issued 06/03/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/19/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/11/2001
Series 7 - General Securities Representative Examination
BC
Issued 05/05/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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