Benjamin J. Spang
Professional summary
Benjamin Joseph Spang, who also goes by Ben Spang, Benjamin J Spang, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in New York, New York.
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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Joseph Spang's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 7, 2017 - Present
NUVEEN SECURITIES, LLC
Office #1: 730 Third Ave, New York, NY 10017January 4, 2010 - January 25, 2010
ALLSPRING FUNDS DISTRIBUTOR, LLC
December 1, 2006 - January 4, 2010
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
June 5, 2002 - May 25, 2006
UBS FINANCIAL SERVICES INC.
September 5, 1996 - May 25, 2006
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 12/14/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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.
