Benjamin E. Small
Professional summary
Benjamin Eli Small, who also goes by Benjamin Small, Ben Eli Small, is a registered financial advisor currently at CORNERSTONE WEALTH PLANNING located in Charlotte, North Carolina.
Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Benjamin has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Eli Small's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 22, 2023 - Present
CORNERSTONE WEALTH PLANNING
Office #1: 7810 Ballantyne Commons Parkway Suite 200, Charlotte, NC 28277May 5, 2022 - August 1, 2023
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
CORNERSTONE WEALTH PLANNING
CRD#: 166886 / SEC#: 801-119224
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/22/2023)
Exams
Series 7TO
Date: 5/5/2022
General Securities Representative ExaminationCurrent Firm
CORNERSTONE WEALTH PLANNING
CRD#: 166886 / SEC#: 801-119224
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,113 |
| AUM (Assets Under Management) | $ 377,153,984 |
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.
