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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 Finkelstein is a financial advisor with over 30 years of experience in the financial services industry. Benjamin is currently registered with Robert W. Baird & Co. Inc. Prior to this, Benjamin was a registered representative at several firms, including Cantor Fitzgerald & Co., Stanford Group Company, Lehman Brothers Inc., PaineWebber Incorporated, Rotan Mosle Inc. and Howard, Weil, Labouisse, Friedrichs Inc. Benjamin is a Series 7, 24, 3, 63, 65, and 52TO licensed professional. Benjamin holds FINRA registrations and is currently registered with the state of Alabama, Arizona, California, Colorado, District of Columbia, Florida, Georgia, Illinois, Louisiana, Minnesota, Missouri, Nevada, New Mexico, North Carolina, Oregon, Tennessee, Texas, Utah, Virginia, Washington, and Wisconsin. Benjamin specializes in portfolio management for individuals, businesses, investment companies, and pooled investment vehicles. Benjamin has a strong background in financial planning, pension consulting, 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.
Strategic management for diversified investment portfolios.
See schedule d
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.
Hard dollar payments for research
1
2
TX
06/07/2023 - Present
Robert W. Baird & Co. Inc. (Houston TX)
TX
03/10/2009 - 04/11/2023
CANTOR FITZGERALD & CO. (KINGSLAND TX)
TX
12/18/1996 - 03/09/2009
STANFORD GROUP COMPANY (HOUSTON TX)
NY
04/21/1993 - 12/06/1996
LEHMAN BROTHERS INC. (NEW YORK NY)
NJ
01/01/1991 - 04/02/1993
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
05/25/1990 - 01/01/1991
ROTAN MOSLE INC.
LA
08/22/1988 - 05/18/1990
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC. (NEW ORLEANS LA)
NA
11/16/1987 - 07/19/1988
WESTCAP SECURITIES, INC.
IA
Issued 02/28/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/26/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/12/2003
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/02/1992
Series 3 - National Commodity Futures Examination
BC
Issued 10/17/1987
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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