Benjamin A. Dobler
FINANCIAL ROUNDS
Cincinnati, OH 45242-3785
Some features on this profile are disabled
CRD#: 6906260
Professional summary
Benjamin Alexander Dobler, CFP®, who also goes by Benjamin Dobler, is a registered financial advisor currently at FINANCIAL ROUNDS located in Cincinnati, Ohio.
Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Benjamin has worked at 2 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Education Planning
Debt Management
Tax Planning
Budgeting
How do you get paid?
Fee Only
Are you a "fiduciary"?
Yes
Aliases
Benjamin Dobler
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.
Stewardship Financial Counsel. Not investment-related. 3014 Montclair Ave, Cincinnati, OH 45211. Primarily offers tax preparation services, as well as financial coaching as a service. Tax Consultant. Founder and sole owner. Start date: May, 2020. Approximately 5 hours per month, 2 of which occur during securities trading hours. Duties include: preparing tax returns, writing blog posts, and communicating with clients via email, phone, and video-conference.
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Alexander Dobler'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: 2020
Experience
Current
July 15, 2021 - Present
FINANCIAL ROUNDS
Office #1: 4555 Lake Forest Drive Ste 650, Cincinnati, OH 45242-3785RIA
CRD#: 110384
Cincinnati, OH
Past
March 20, 2019 - March 25, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CINCINNATI, OH
Past
April 21, 2018 - March 25, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
CINCINNATI, OH
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FINANCIAL ROUNDS
FINANCIAL ROUNDS | PERSONAL CHOICE FINANCIAL, LLC | PERSONAL CHOICE FINANCIAL ADVISORS, LLC | HANSEN FINANCIAL MANAGEMENT | HANSEN CHRISTOPHER HAROLD
CRD#: 110384 / SEC#: 801-121351
RIA
Registered Investment Advisory firm - (6/1/2021 Approved)Florida
Registered Investment Advisory firm - (6/28/2021 Terminated)Kentucky
Registered Investment Advisory firm - (6/28/2021 Terminated)Ohio
Registered Investment Advisory firm - (6/30/2021 Terminated)Texas
Registered Investment Advisory firm - (6/28/2021 Terminated)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
Kentucky(3/10/2023)
IAR
Ohio(7/15/2021)
IAR
Texas(3/10/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FINANCIAL ROUNDS
FINANCIAL ROUNDS | PERSONAL CHOICE FINANCIAL, LLC | PERSONAL CHOICE FINANCIAL ADVISORS, LLC | HANSEN FINANCIAL MANAGEMENT | HANSEN CHRISTOPHER HAROLD
CRD#: 110384 / SEC#: 801-121351
RIA
Registered Investment Advisory firm - (6/1/2021 Approved)Florida
Registered Investment Advisory firm - (6/28/2021 Terminated)Kentucky
Registered Investment Advisory firm - (6/28/2021 Terminated)Ohio
Registered Investment Advisory firm - (6/30/2021 Terminated)Texas
Registered Investment Advisory firm - (6/28/2021 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
4555 Lake Forest Drive Ste 650, Cincinnati, OH 45242-3785
Mailing Address
Phone number
(513) 588-8080
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 523 |
| AUM (Assets Under Management) | $ 178,333,207 |
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.
Company Information
FINANCIAL ROUNDS
CRD#: 110384Cincinnati, OH 45242-3785TRUST BUT VERIFY
Monitor Benjamin Dobler
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
