Benjamin J. Schmid
KETWICH CAPITAL LLC
Malvern, PA
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CRD#: 5355502
Professional summary
Benjamin Joseph Schmid, CFP®, who also goes by Benjamin J. Schmid, is a registered financial advisor currently at KETWICH CAPITAL LLC located in Malvern, Pennsylvania.
Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Benjamin has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 86, Series 87 and Series 7 exams.
Biography
Ben is the founder of Ketwich Capital LLC ("Ket-Cap") which serves the financial and investment needs of professionals and families in urban cities. Ben is a CERTIFIED FINANCIAL PLANNER™, a Certified Kingdom Advisor®, and graduated from Rutgers Business School with a Bachelors of Science in Finance.
Ben's passion for investing began when he bought his first mutual fund at age eleven. Throughout his career, Ben has felt called to greater stewardship of capital and has become a fierce advocate of fiduciary standards.
Prior to Ket-Cap, Ben spent a decade working on Wall Street. As an equity analyst at UBS in 2008, he had a front-row seat to the housing bubble burst and the collapse of the global economy. This experience taught him the dangers of financial salesmanship (mortgages in this case) and how a clear financial plan is vital during difficult times. Before founding Ket-Cap in 2017, Ben worked in investment management at Neuberger Berman alongside a variety of fund managers.
In his personal time, Ben loves to travel with his wife Helen and their son. He also loves to read anything related to business & investing, military history (especially WWII), and theology.
Question & Answer
What are your service offerings?
Investment Planning
Estate Planning
Comprehensive Financial Planni...
Do you have an area of expertise or specialization?
Charitable Giving
Estate & Generational Planning...
Financial Psychology/Coaching
Generation X
Millennials
Real Estate Investments
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
Benjamin J. Schmid
Other business activities
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.
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Joseph Schmid's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2019
Experience
Current
June 22, 2017 - Present
KETWICH CAPITAL LLC
RIA
CRD#: 288832
Malvern, PA
Past
March 12, 2013 - May 3, 2017
NEUBERGER BERMAN BD LLC
RIA
CRD#: 2908
NEW YORK, NY
Past
November 2, 2012 - May 3, 2017
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
NEW YORK, NY
Past
September 9, 2008 - November 2, 2012
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(7/27/2017)
IAR
New York(10/12/2021)
IAR
Pennsylvania(5/4/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
KETWICH CAPITAL LLC
KETWICH CAPITAL LLC
CRD#: 288832 / SEC#:
California
Registered Investment Advisory firm - (7/26/2017 Approved)New Jersey
Registered Investment Advisory firm - (6/23/2025 Terminated)New York
Registered Investment Advisory firm - (8/18/2017 Approved)Pennsylvania
Registered Investment Advisory firm - (5/4/2020 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Malvern, PA
Mailing Address
Phone number
(646) 389-9446
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 53 |
| AUM (Assets Under Management) | $ 27,213,963 |
Red Flags
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