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Benjamin J Schmalz

Morgan Stanley

Sandy, UT

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
UT RA APPROVED 2022-08-22
TX RA APPROVED 2022-08-15
  • UT RA
    APPROVED
    Since 2022-08-22
  • TX RA
    APPROVED
    Since 2022-08-15

Branch Locations

200 West Civic Center Drive, Sandy, UT 84070 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fidelity Brokerage Services Llc American Fork UT 07/2008 09/2021
Fidelity Personal And Workplace Advisors Boston MA 07/2018 09/2021
E*Trade Securities Llc Sandy UT 09/2021 Present
E*Trade Capital Management Llc Sandy UT 09/2021 Present
Morgan Stanley Smith Barney Llc Sandy UT 08/2022 Present
Morgan Stanley Sandy UT 09/2023 Present
  • 07/2008 → 09/2021
    Fidelity Brokerage Services Llc
    American Fork, UT
  • 07/2018 → 09/2021
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 09/2021 → Present
    E*Trade Securities Llc
    Sandy, UT
  • 09/2021 → Present
    E*Trade Capital Management Llc
    Sandy, UT
  • 08/2022 → Present
    Morgan Stanley Smith Barney Llc
    Sandy, UT
  • 09/2023 → Present
    Morgan Stanley
    Sandy, UT
Previous Registrations
  • 2021-11-08 → 2023-09-05
    Harrisdirect Llc
    Arlington, VA
    Sandy, UT
  • 2018-07-13 → 2021-09-29
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 2018-02-26 → 2018-07-13
    Strategic Advisers Llc
    Salt Lake City, UT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-02-20
S63 Uniform Securities Agent State Law Examination 2008-10-02
  • S66 Uniform Combined State Law Examination
    2018-02-20
  • S63 Uniform Securities Agent State Law Examination
    2008-10-02
Other Names
  • Benjamin Schmalz
  • Benjamin Joseph Schmalz

View on SEC IAPD

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Other Offices

LPL FINANCIAL LLC · SANDY, UT
LPL FINANCIAL LLC · SANDY, UT
LPL FINANCIAL LLC · SANDY, UT
CETERA INVESTMENT ADVISERS LLC · SANDY, UT
ACLAIME ASSET MANAGEMENT, LLC · SANDY, UT
DIVERSIFY WEALTH MANAGEMENT, LLC · SANDY, UT
DIVERSIFY ADVISORY SERVICES, LLC · SANDY, UT
DIVERSIFY WEALTH MANAGEMENT, LLC · SANDY, UT

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