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Benjamin Alan Swim

Rbc Capital Markets, LLC

Minneapolis, MN

Lonsdale, MN

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Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2020-05-21
  • MN RA
    APPROVED
    Since 2020-05-21

Branch Locations

250 Nicollet Mall Suite 2000, 16Th Floor, Minneapolis, MN 55401-1931 • United States

Lonsdale, MN • 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
Ameriprise Financial Services, Inc. Minneapolis MN 09/2011 05/2020
Rbc Capital Markets, Llc Minneapolis MN 05/2020 Present
  • 09/2011 → 05/2020
    Ameriprise Financial Services, Inc.
    Minneapolis, MN
  • 05/2020 → Present
    Rbc Capital Markets, Llc
    Minneapolis, MN
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-01-26
  • S66 Uniform Combined State Law Examination
    2004-01-26
Other Names
  • Benjamin Alan Swim
  • Benjamin Swim

View on SEC IAPD

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