Benjamin Harvey Levine
Professional Summary
Benjamin Harvey Levine is a registered financial advisor currently at WULFF, HANSEN & CO. located in San Rafael, California. Benjamin is registered as a RR (Registered Representative) and started their career in finance in 1976. Benjamin has worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 50 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
LPL FINANCIAL LLC
A. T. BROD & CO. INC.
EDWARD JONES
BRAZOS WEALTH ADVISORS LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
A. T. BROD & CO. INC.
EDWARD JONES
BRAZOS WEALTH ADVISORS LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
A. T. BROD & CO. INC.
EDWARD JONES
BRAZOS WEALTH ADVISORS LLC
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
A. T. BROD & CO. INC.
EDWARD JONES
BRAZOS WEALTH ADVISORS LLC
Years of Experience
43 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
LPL FINANCIAL LLC
A. T. BROD & CO. INC.
EDWARD JONES
BRAZOS WEALTH ADVISORS LLC
Current Firm
WULFF CAPITAL MANAGEMENT | WULFF, HANSEN & CO.
Contact Information
Main Address
100 Smith Ranch Road, Suite 320 Suite 320, San Rafael, CA 94903Mailing Address
100 Smith Ranch Road, Suite 320, San Rafael, CA 94903Phone Number
(415) 421-8900Established
California since 12/28/1931Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
9SEC notice filing (2 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
FINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
143AUM (Assets Under Management)
$144,815,568Disclosures
Regulatory Event
4Bond
1Similar Advisors
LPL FINANCIAL LLC
A. T. BROD & CO. INC.
EDWARD JONES
BRAZOS WEALTH ADVISORS LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
Similar Advisors
LPL FINANCIAL LLC
A. T. BROD & CO. INC.
EDWARD JONES
BRAZOS WEALTH ADVISORS LLC
Primary Firm SEC Registration
WULFF CAPITAL MANAGEMENT | WULFF, HANSEN & CO.
State Registrations and Notice Filings
(1/18/2006)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 50 — Municipal Advisor Representative Qualification Exam
Passed Feb 2016About the Series 50 examSRO Registrations
Similar Advisors
LPL FINANCIAL LLC
A. T. BROD & CO. INC.
EDWARD JONES
BRAZOS WEALTH ADVISORS LLC
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Harvey Levine's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
A. T. BROD & CO. INC.
EDWARD JONES
BRAZOS WEALTH ADVISORS LLC