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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 Goldstein is a registered investment advisor with over 24 years of experience in the financial services industry. Benjamin Goldstein is currently employed by UBS Financial Services Inc. and is registered with the Securities and Exchange Commission. Benjamin Goldstein is also registered with the state of North Carolina as an investment advisor. Benjamin Goldstein has passed the Series 63, Series 65, Series 7 and Series 31 exams. Benjamin Goldstein is licensed to provide financial services in over 30 states. Benjamin Goldstein is a specialist in financial planning, portfolio management, and pension consulting. Benjamin Goldstein's areas of expertise include investments, retirement planning, and estate planning.
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
NC
02/07/2003 - Present
UBS Financial Services Inc. (RALEIGH NC)
IA
Issued 06/09/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/26/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/25/2012
Series 31 - Futures Managed Funds Examination
BC
Issued 05/13/1998
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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