Benjamin Roberts
Professional summary
Benjamin Roberts, who also goes by Benjamin Alden Roberts, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in San Francisco, California.
Benjamin is registered as a RR (Registered Representative) and started their career in finance in 2000. Benjamin has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Roberts's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 28, 2023 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 601 California Street, Suite 610, San Francisco, CA 94108September 7, 2017 - September 9, 2023
WELLS FARGO SECURITIES, LLC
April 5, 2013 - June 12, 2017
COWEN AND COMPANY
August 2, 2010 - February 26, 2013
BARCLAYS CAPITAL INC.
June 8, 2006 - July 21, 2010
WELLS FARGO SECURITIES, LLC
February 17, 2000 - June 14, 2006
BANC OF AMERICA 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
(8/28/2023)
(10/4/2023)
(1/2/2024)
(10/4/2023)
(1/2/2024)
(1/2/2024)
(1/9/2025)
(10/4/2023)
(1/2/2024)
(9/19/2023)
(10/4/2023)
(1/9/2025)
(1/2/2024)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/11/2000
Limited Representative-Equity Trader ExamFINRA
Investors' Exchange LLC
Nasdaq Stock Market
Current Firm
GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
| WINICK, HOWARD NEIL | PRINCIPAL OPERATIONS OFFICER | 1871689 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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