Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Benjamin? Claim Your ProfileBenjamin Miles Smith is a financial advisor at Morgan Stanley. Benjamin has been in the industry since August 2010. They have a Series 7, Series 31, Series 9, Series 10, Series 66, Series 99TO, and SIE. They have been registered with Morgan Stanley since June 2011. Benjamin has also been previously registered with E*TRADE SECURITIES LLC and Solium Financial Services LLC. Benjamin has a broad range of experience in the financial services industry and is committed to providing clients with personalized advice and guidance.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
GA
07/06/2011 - Present
Morgan Stanley (Alpharetta GA)
GA
05/18/2021 - 09/05/2023
E*TRADE SECURITIES LLC (Alpharetta GA)
UT
11/06/2019 - 09/30/2020
SOLIUM FINANCIAL SERVICES LLC (South Jordan UT)
UT
07/05/2010 - 06/03/2011
MORGAN STANLEY SMITH BARNEY (SALT LAKE CITY UT)
BOTH
Issued 07/30/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/04/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/14/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/10/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 07/02/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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