Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Benjamin? Claim Your ProfileBenjamin Swallow is a financial advisor with over 20 years of experience in the industry. Benjamin has been with Morgan Stanley since 2017, working out of their South Jordan office. Before joining Morgan Stanley, Benjamin worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated. Benjamin is a registered representative and investment advisor. Benjamin holds the Series 7, Series 66, and Series 99TO licenses, and has passed the SIE exam.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
UT
10/27/2017 - Present
Morgan Stanley (SOUTH JORDAN UT)
UT
05/21/2010 - 08/11/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SALT LAKE CITY UT)
NY
09/07/2000 - 03/01/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 09/26/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/05/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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