Benjamin UySmith, financial advisor Cary NC

Benjamin UySmith

Prestige Financial Group

CRD Number: 6155551
Current Firm: Equitable Advisors, LLC
Compensation Model: Both

Benjamin Uysmith (CRD# 6155551) is an Investment Advisor Representative working at Axa Advisors, LLC in Research Triangle Park, NC and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Equitable Advisors, LLC New York, NY Apr 2014 - Current 9
Axa Advisors, LLC New York, NY Apr 2014 - Jun 2020 6
Northwestern Mutual Life Insurance Company Milwaukee, WI Apr 2013 - Apr 2014 1
Northwestern Mutual Investment Services, LLC Durham, NC Apr 2013 - Apr 2014 1
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Jan 2015
S63 Uniform Securities State Law Examination Jun 2013
Contact Info for Benjamin J. UySmith
Phone Number: 212-314-4600
Firm Website: http://equitable.com
Registered State(s):
  • AZ
  • CA
  • GA
  • KY
  • NC
  • PA
  • SC
  • TX
By the Numbers
  • Total Assets Under Management
    27,251
    MILLIONS
  • Total Number of Accounts
    77,076
    ACCOUNTS
  • Average Account Value
    $353,557
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States
The map below shows states where this firm has explicit registration only.

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

Firm Disclaimer:

Benjamin UySmith is a registered representative who offers securities through AXA Advisors, LLC (NY, NY 212-314-4600), member FINRA, SIPC and an agent who offers annuity and insurance products through AXA Network, LLC. AXA Network conducts business in CA as AXA Network Insurance Agency of California, LLC, in UT as AXA Network Insurance Agency of Utah, LLC, and in PR as AXA Network of Puerto Rico, Inc.  Investment advisory products and services offered through AXA Advisors, LLC, an investment advisor registered with the SEC.  AXA Advisors and AXA Network are affiliated companies and do not provide tax or legal advice. Representatives may transact business, which includes offering products and services and/or responding to inquiries, only in state(s) in which they are properly registered and/or licensed.  Viewing this profile does not necessarily indicate that the sender is able to transact business in your state.

Prestige Financial Group is not a registered investment advisor and is not owned or operated by AXA Advisors or AXA Network.

 

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