Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Benjamin? Claim Your ProfileBenjamin Miller is a financial advisor with Wells Fargo Clearing Services, LLC. Benjamin holds Series 6, 7, 10, 24, 26, 63, and 65 licenses and is a Certified Financial Planner. Benjamin has been in the financial industry since 2007.
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.
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.
Investment consulting services to institutional clients
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.
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2
CA
06/16/2022 - Present
Wells Fargo Clearing Services, LLC (CARMEL CA)
CA
03/27/2020 - 06/13/2022
W&S BROKERAGE SERVICES, INC. (ONTARIO CA)
OR
04/03/2018 - 01/09/2019
CHARLES SCHWAB & CO., INC. (PORTLAND OR)
CA
02/01/2018 - 02/22/2018
SAGEPOINT FINANCIAL, INC. (NEWPORT BEACH CA)
CA
03/09/2007 - 02/21/2017
NYLIFE SECURITIES LLC (SAN DIEGO CA)
NY
12/11/2001 - 10/31/2003
NEW ENGLAND SECURITIES (NEW YORK NY)
IA
Issued 04/08/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/18/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/04/2020
Series 24 - General Securities Principal Examination
BC
Issued 05/15/2020
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 05/14/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/24/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/27/2009
Series 7 - General Securities Representative Examination
BC
Issued 03/07/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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