Benjamin Alfred Swallow

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2010 → 04/2017
  Bank Of America, N.A.
  Salt Lake City, UT
• 06/2017 → 01/2018
  Morgan Stanley Services Group Inc.
  South Jordan, UT
• 01/2018 → Present
  Morgan Stanley Smith Barney Llc
  South Jordan, UT

Previous Registrations

• 2010-05-24 → 2016-08-11
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Seattle, WA
  Chicago, IL
  Salt Lake City, UT
  Bellevue, WA
  Las Vegas, NV
  Denver, CO
  New York, NY
• 2001-01-29 → 2010-03-01
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Salt Lake City, UT
  Salt Lake City, UT
  New York, NY

Exams

• S66 Uniform Combined State Law Examination
  2000-09-26

Other Names

• Benjamin Alfred Swallow
• Benjamin A. Swallow