Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Benjamin? Claim Your ProfileBenjamin Dukes is an active registered investment advisor with over 12 years of experience in the financial services industry. Benjamin has been with UBS Financial Services Inc. since 2012. Prior to that, Benjamin worked at MORGAN STANLEY SMITH BARNEY. Benjamin holds Series 66, Series 31, and Series 7 licenses, and is registered in 24 states. Benjamin specializes in providing financial planning, portfolio management, and investment advisory services to individuals, businesses, and high-net-worth clients.
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
GA
06/15/2012 - Present
UBS Financial Services Inc. (ATLANTA GA)
GA
03/05/2010 - 04/18/2012
MORGAN STANLEY SMITH BARNEY (ATLANTA GA)
BOTH
Issued 03/31/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/13/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 03/04/2010
Series 7 - General Securities 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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