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Loren Ben

Oppenheimer & CO. INC.
50 Years of Experience
Fort Lauderdale, FL
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Loren Ben is a registered investment advisor at Oppenheimer & CO. INC., based in Fort Lauderdale, FL, with 50 years of industry experience. Loren is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 39,036 clients with $37B in assets under management.

Oppenheimer & CO. INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1159 advisors
Number of Clients
39,036 clients
Average Client Portfolio
$940K average
Assets Under Management
$36.7B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Minimum Annual Fee:$250
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum asset-based fees are up to 2.5% for the FAM program and up to 2.25% for the Preference program. Fees vary by program and are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

100 South East 3rd Avenue, Suite 2100, Fort Lauderdale, FL, 33394

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
March 2016
Final
Customer Dispute
January 2010
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Loren is a trustee for BP Enterprises, a family limited partnership with a single real estate investment. This activity requires minimal time.

Employment History
Current Registrations
Oppenheimer & CO. INC.
August 2007 - Present · 19 yrs 2 mos
Oppenheimer & CO. INC.Broker
January 2003 - Present · 23 yrs 9 mos
Previous Registrations
Oppenheimer & CO., INC.Broker
April 1995 - April 1995 · 0 mos
Cibc World Markets CORP.Broker
October 1994 - January 2003 · 8 yrs 3 mos
Gruntal & CO. IncorporatedBroker
February 1991 - October 1994 · 3 yrs 8 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
May 1989 - January 1991 · 1 yr 8 mos
Drexel Burnham Lambert IncorporatedBroker
January 1988 - May 1989 · 1 yr 4 mos
Bear, Stearns & CO. INC.Broker
October 1985 - February 1988 · 2 yrs 4 mos
Dean Witter Reynolds INC.Broker
June 1983 - October 1985 · 2 yrs 4 mos
Spencer, Swain & CO., INC.Broker
February 1982 - June 1983 · 1 yr 4 mos
Security First Financial, INC.Broker
May 1981 - September 1981 · 4 mos
Buttonwood Securities Corporation of MassachusettsBroker
December 1979 - June 1981 · 1 yr 6 mos
H. C. Copeland and Associates Equities, INC.Broker
March 1979 - April 1981 · 2 yrs 1 mo
Security Investment Services CORP.Broker
February 1979 - December 1979 · 10 mos
Nel Equity Services CorporationBroker
August 1978 - April 1979 · 8 mos
Buttonwood Securities Corporation of MassachusettsBroker
March 1978 - August 1978 · 5 mos
Prudential-Bache Securities INC.Broker
September 1977 - December 1983 · 6 yrs 3 mos
Bache Halsey Stuart INC.Broker
March 1977 - September 1977 · 6 mos
First New England Securities CorporationBroker
April 1976 - January 1977 · 9 mos
Hawthorne Securities CorporationBroker
December 1975 - April 1976 · 4 mos
State Registrations17 states
AZCACOFLGAILINMAMEMIMNNHNJNVNYRITX
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.
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