Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Benjamin? Claim Your ProfileBenjamin Spang is a financial professional with over 25 years of experience in the financial services industry. Benjamin is currently registered with Nuveen Securities, LLC and holds the Series 3, 7, 24, 55, 63, 99TO, and SIE licenses. Benjamin has also held positions with UBS Financial Services Inc., Evergreen Investment Services, Inc., and Wells Fargo Funds Distributor, LLC. Benjamin's expertise includes investments and financial 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.
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.
1
2
NY
11/07/2017 - Present
Nuveen Securities, LLC (New York NY)
NC
01/04/2010 - 01/25/2010
WELLS FARGO FUNDS DISTRIBUTOR, LLC (CHARLOTTE NC)
NC
12/01/2006 - 01/04/2010
EVERGREEN INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NJ
09/05/1996 - 05/25/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BC
Issued 05/28/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/08/2018
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/07/2017
Series 7 - General Securities Representative Examination
BC
Issued 12/14/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/25/1995
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
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