Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Benjamin? Claim Your ProfileBenjamin Roberts is a financial professional with over 23 years of experience in the securities industry. Benjamin is currently registered with Guggenheim Securities, LLC and holds a Series 7, 24, 4, 55, 57TO and SIE licenses. Previously, Benjamin was employed by WELLS FARGO SECURITIES, LLC, COWEN AND COMPANY, BARCLAYS CAPITAL INC. and BANC OF AMERICA SECURITIES LLC. Benjamin is licensed to conduct business in California, Colorado, Connecticut, Florida, Illinois, Massachusetts, New York, Oregon, Texas, Utah and Wisconsin.
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
CA
08/28/2023 - Present
Guggenheim Securities, LLC (SAN FRANCISCO CA)
CA
09/07/2017 - 09/09/2023
WELLS FARGO SECURITIES, LLC (SAN FRANCISCO CA)
CA
04/05/2013 - 06/12/2017
COWEN AND COMPANY (San Francisco CA)
CA
08/02/2010 - 02/26/2013
BARCLAYS CAPITAL INC. (SAN FRANCISCO CA)
CA
06/08/2006 - 07/21/2010
WELLS FARGO SECURITIES, LLC (SAN FRANCISCO CA)
NY
02/17/2000 - 06/14/2006
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
BC
Issued 12/01/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/14/2022
Series 4 - Registered Options Principal Examination
BC
Issued 11/17/2021
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/11/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/16/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
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