Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Benjamin? Claim Your ProfileBenjamin Baum has been an active financial advisor since August 20, 1986. Benjamin is currently registered with UBS Financial Services Inc. and has been with the firm since January 2006. Prior to that, Benjamin was registered with Morgan Stanley DW Inc., Smith Barney Inc., and Drexel Burnham Lambert Incorporated. Benjamin has passed the Series 3, 7, 63, and 66 exams. Benjamin specializes in providing financial advice to a wide range of clients including individuals, high-net-worth individuals, corporations, businesses, pension and profit-sharing plans, charitable organizations, and insurance companies. Benjamin also provides financial planning, portfolio management, and educational seminars.
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
FL
07/28/2008 - Present
UBS Financial Services Inc. (MIAMI FL)
NY
07/20/1994 - 01/10/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
07/19/1988 - 07/20/1994
SMITH BARNEY INC. (NEW YORK NY)
NA
08/21/1986 - 08/01/1988
DREXEL BURNHAM LAMBERT INCORPORATED
BOTH
Issued 12/15/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/06/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/16/1986
Series 7 - General Securities Representative Examination
BC
Issued 07/29/1986
Series 3 - National Commodity Futures 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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