Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Benjamin? Claim Your ProfileBenjamin Swain is a financial advisor registered with Charles Schwab & CO., Inc. Benjamin has been in the industry since 2001 and has experience working with various firms, including Empower Financial Services, Inc., Equitable Advisors, LLC, and TD Ameritrade, Inc. Benjamin holds multiple licenses, including Series 6, 7, 24, 63, and 65. Benjamin is a Registered Representative and Investment Advisor Representative. Benjamin specializes in providing financial planning and other advisory services to individuals and families.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
CT
04/20/2023 - Present
Charles Schwab & CO., Inc. (West Hartford CT)
CO
01/20/2022 - 03/28/2023
EMPOWER FINANCIAL SERVICES, INC. (GREENWOOD VILLAGE CO)
CT
02/01/2021 - 01/11/2022
EQUITABLE ADVISORS, LLC (SHELTON CT)
CT
01/08/2015 - 01/11/2021
TD AMERITRADE, INC. (WATERFORD CT)
CT
08/09/2011 - 01/07/2015
AXA ADVISORS, LLC (HAMDEN CT)
CT
11/02/2007 - 07/26/2011
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (HARTFORD CT)
MA
01/01/2005 - 07/30/2007
MMC SECURITIES CORP. (NORWOOD MA)
MA
02/08/2001 - 01/01/2005
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)
IA
Issued 12/29/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 7/13/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/9/2019
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/11/2008
Series 7 - General Securities Representative Examination
BC
Issued 2/7/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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