Benjamin A. Wander
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 Adam Wander, who also goes by Benjamin Wander, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2004. Benjamin had worked at 4 firms and has passed the Series 66, Series 31 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
May 8, 2012 - July 30, 2013
ARBOR RESEARCH & TRADING, LLC
March 24, 2008 - November 5, 2009
VALIC FINANCIAL ADVISORS, INC.
March 19, 2008 - November 5, 2009
VALIC FINANCIAL ADVISORS, INC.
April 3, 2006 - September 27, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 31, 2006 - September 27, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 3, 2004 - April 3, 2006
MORGAN STANLEY DW INC.
June 28, 2004 - April 3, 2006
MORGAN STANLEY DW 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
ARBOR RESEARCH & TRADING, LLC
CRD#: 21313 / SEC#: , 8-38818
Contact information
FINRA licenses (18 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARBOR RESEARCH HOLDINGS, LLC | OWNER | |
| HANDLER, FRED DAVID JR | CHIEF EXECUTIVE OFFICER & DIRECTOR | 1278354 |
| LUSTIG, DANIEL JAY | EXECUTIVE VICE PRESIDENT | 1496662 |
| MCELWREATH, EDWARD THOMAS | EXECUTIVE VICE PRESIDENT | 1111324 |
| MOISE, MICHAEL PAUL | PRESIDENT, FINOP & DIRECTOR | 5910037 |
| MOISE, MICHAEL PAUL | CHIEF COMPLIANCE OFFICER | 5910037 |
Disclosures
| Regulatory Event | 2 |
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.
