Benjamin Smith is a registered investment advisor, based in Charlotte, NC, with 2 years of industry experience.
Location
214 N Tryon St, Fl 46, Charlotte, NC, 28202
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Truist Advisory Services, INC.
March 2025 - Present · 1 yr 2 mos
Truist Investment Services, INC.Broker
March 2025 - Present · 1 yr 2 mos
Previous Registrations
The Ayco Company, L.P.
October 2023 - September 2024 · 11 mos
Goldman Sachs Personal Financial Management
December 2022 - October 2023 · 10 mos
Goldman Sachs & CO. LLCBroker
November 2022 - September 2024 · 1 yr 10 mos
State Registrations1 state
NC
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.