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BENJAMIN S BLUMENTHAL
BENJAMIN SCOTT BLUMENTHAL, Ben Blumenthal
CRD#: 5350656
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 1800 NORTH MILITARY TRAIL
SUITE 300
BOCA RATON, FL 33431
SUITE 300
BOCA RATON, FL 33431
0
Disclosures
10
Years of Experience
View By:
State Registrations
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Alabama 1/23/2025
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Michigan 7/27/2020
B
Arizona 8/11/2020
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Minnesota 12/20/2021
B
Arkansas 8/5/2020
B
Missouri 3/21/2022
B
California 7/23/2020
B
Montana 7/23/2020
B
Colorado 8/5/2020
B
Nevada 8/12/2020
B
Connecticut 7/27/2020
B
New Jersey 8/5/2020
B
Delaware 8/21/2020
B
New York 8/11/2020
B
District of Columbia 7/31/2020
B
North Carolina 7/8/2021
B
Florida 8/3/2020
B
Ohio 7/10/2024
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Florida 6/22/2022
B
Pennsylvania 7/24/2020
B
Georgia 8/21/2020
B
Rhode Island 8/27/2020
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Idaho 8/21/2020
B
South Carolina 8/12/2020
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Illinois 8/4/2020
B
Tennessee 8/5/2020
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Illinois 11/3/2020
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Texas 7/23/2020
B
Indiana 4/8/2022
B
Texas 7/27/2020
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Iowa 4/25/2022
B
Utah 8/21/2020
B
Maryland 7/23/2020
B
Virginia 8/5/2020
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Maryland 7/23/2020
B
Washington 8/5/2020
B
Massachusetts 7/27/2020
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Wisconsin 7/23/2020
SRO Registrations
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IA
Registered with this firm since 7/23/2020
B
Registered with this firm since 7/23/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/02/2015 - 07/24/2020 | Chicago, IL | |
B | 08/14/2015 - 07/24/2020 | Chicago, IL | |
IA | 03/02/2012 - 05/14/2013 | LAKE FOREST, IL | |
B | 12/21/2011 - 05/14/2013 | LAKE FOREST, IL |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.