Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Benjamin? Claim Your ProfileBenjamin Swim is a financial advisor with RBC Capital Markets, LLC. Benjamin has been a registered representative for 19 years and has been in the financial industry for 20 years. Benjamin is registered in 6 states: Arkansas, Massachusetts, Minnesota, Montana, Utah and Wisconsin. Benjamin holds FINRA Series 7, 9, 10, 24, 66 licenses. Benjamin previously worked at Ameriprise Financial Services, LLC, Columbia Management Investment Distributors, Inc., Riversource Distributors, Inc., Ameriprise Financial Services, Inc., IDS Life Insurance Company and American Express Financial Advisors Inc.. Benjamin specializes in providing financial planning, portfolio management, and pension consulting services to individuals, businesses, and institutions.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
MN
05/21/2020 - Present
RBC Capital Markets, LLC (MINNEAPOLIS MN)
MN
09/19/2011 - 05/19/2020
AMERIPRISE FINANCIAL SERVICES, LLC (MINNEAPOLIS MN)
MN
01/02/2009 - 05/24/2010
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. (MINNEAPOLIS MN)
MN
11/28/2006 - 01/02/2009
RIVERSOURCE DISTRIBUTORS, INC. (MINNEAPOLIS MN)
MN
01/01/2004 - 01/24/2007
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
MN
01/01/2004 - 12/31/2006
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
MN
02/02/2000 - 10/25/2000
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
02/02/2000 - 10/25/2000
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 01/26/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/18/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/12/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/21/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/2003
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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