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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 Wakefield is a financial advisor currently registered with UBS Financial Services Inc. Benjamin has been active in the industry since October 1998 and has experience working with a wide range of clients. Benjamin holds the Series 63, 65 and 7 licenses, along with the SIE exam. Benjamin is registered in 26 states and provides advisory services such as financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisors, portfolio management for businesses and individuals. Prior to working with UBS Financial Services Inc., Benjamin worked with J.C. BRADFORD & CO. from 1998 to 2000.
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
TN
08/14/2000 - Present
UBS Financial Services Inc. (NASHVILLE TN)
NY
11/01/1998 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
IA
Issued 12/13/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/24/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/09/1998
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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