Benjamin Joseph Spang
Professional Summary
Benjamin Joseph Spang, who also goes by Ben Spang, Benjamin J Spang, is a registered financial advisor currently at NUVEEN SECURITIES, LLC located in Iselin, New Jersey. Benjamin is registered as a RR (Registered Representative) and started their career in finance in 1996. Benjamin has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 55, Series 3 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Ben Spang, Benjamin J Spang
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
31 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
JOHN NUVEEN & CO., INCORPORATED | NUVEEN SECURITIES, LLC | NUVEEN SECURITIES - USED ON SALES AND MARKETING LITERATURE | NUVEEN INVESTMENTS, LLC | NUVEEN INVESTMENTS
Contact Information
Main Address
333 West Wacker Drive, Chicago, IL 60606-1286Mailing Address
333 West Wacker Drive, Chicago, IL 60606-1286Phone Number
(312) 917-7700Established
Delaware since 09/07/1967Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
7Civil Event
2Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Dec 1999SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Benjamin Joseph Spang's CRS (Customer Relationship Summary).
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