Benjamin P. Orser
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.
Benjamin Paul Orser, who also goes by Benjamin Orser, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1999. Benjamin had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2021 - June 5, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 23, 2021 - May 27, 2022
FIDELITY BROKERAGE SERVICES LLC
January 1, 2010 - June 3, 2019
INVESCO ADVISERS, INC.
February 17, 2006 - January 1, 2010
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
November 19, 2004 - June 3, 2019
INVESCO DISTRIBUTORS, INC.
February 20, 2004 - November 1, 2004
CHASE INVESTMENT SERVICES CORP.
November 22, 2002 - December 1, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 9, 2000 - November 15, 2002
INVESCO DISTRIBUTORS, INC.
March 9, 1999 - May 5, 2000
AVANTAX INVESTMENT 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
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
