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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 Roy Bergfelt is an investment advisor representative with UBS Financial Services Inc. Benjamin has been in the industry since 2000 and is registered in California, Colorado, District of Columbia, Florida, Idaho, Indiana, Louisiana, Maryland, Michigan, Minnesota, Nevada, New York, North Carolina, Oregon and Texas. Benjamin has also passed the Series 66, Series 9, Series 10, and Series 7 exams. Benjamin is a member of the advisory committee for prospective candidates for the service academies. Benjamin is an experienced advisor and is committed to providing his clients with the best possible financial advice.
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
CA
09/29/2000 - Present
UBS Financial Services Inc. (NAPA CA)
BOTH
Issued 06/27/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/24/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/28/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/06/2000
Series 7 - General Securities Representative 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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