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Robert Benjamin Swartz

Wells Fargo Clearing Services, LLC

Charlotte, NC

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-10-02
NC RA APPROVED 2022-10-20
  • TX RA
    APPROVED_RES
    Since 2024-10-02
  • NC RA
    APPROVED
    Since 2022-10-20

Branch Locations

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • 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
University Of North Carolina - Chapel Hill Chapel Hill NC 01/2017 05/2020
University Of North Carolina - Chapel Hill Chapel Hill NC 08/2016 05/2020
University Of North Carolina - Charlotte Charlotte NC 06/2020 05/2021
Ubs Charlotte NC 06/2021 10/2022
Wells Fargo Clearing Services, Llc Charlotte NC 10/2022 Present
  • 01/2017 → 05/2020
    University Of North Carolina - Chapel Hill
    Chapel Hill, NC
  • 08/2016 → 05/2020
    University Of North Carolina - Chapel Hill
    Chapel Hill, NC
  • 06/2020 → 05/2021
    University Of North Carolina - Charlotte
    Charlotte, NC
  • 06/2021 → 10/2022
    Ubs
    Charlotte, NC
  • 10/2022 → Present
    Wells Fargo Clearing Services, Llc
    Charlotte, NC
Previous Registrations
Other Businesses

RENTAL PROPERTY; INV. RELATED; CHARLOTTE, NC; 33% OWNERSHIP; RESIDENTIAL; START DATE 9/30/2024; 10 HRS PER MONTH; 0 HRS DURING TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-10-25
  • S66 Uniform Combined State Law Examination
    2021-10-25
Other Names
  • Robbie Benjamin Swartz

View on SEC IAPD

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Other Offices

FIRST TRYON ADVISORS · CHARLOTTE, NC
MUIRFIELD WEALTH ADVISORS LLC · CHARLOTTE, NC
MAI CAPITAL MANAGEMENT, LLC · Charlotte, NC
LPL FINANCIAL LLC · CHARLOTTE, NC
ARKADIOS WEALTH ADVISORS · Charlotte, NC
MODERA WEALTH MANAGEMENT, LLC · CHARLOTTE, NC
TLG ADVISORS, INC. · Charlotte, NC
LPL FINANCIAL LLC · CHARLOTTE, NC

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