Ben Stoller
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ben Stoller was a registered financial professional .
Ben is a previously registered financial professional and started their career in finance in 2007. Ben had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2016 - November 2, 2020
THIRD SEVEN CAPITAL LLC
September 23, 2014 - May 3, 2016
MAXIM GROUP LLC
July 15, 2014 - September 24, 2014
MATRIX CAPITAL GROUP, INC.
March 28, 2012 - August 23, 2012
BCW SECURITIES LLC
June 25, 2007 - July 6, 2007
ACCESS SECURITIES, LLC
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 7TO
Date: 7/7/2022
General Securities Representative ExaminationSeries 55
Date: 2/13/2015
Limited Representative-Equity Trader ExamCurrent Firm
THIRD SEVEN CAPITAL LLC
CRD#: 160209 / SEC#: , 8-69032
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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