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Benjamin Lewis Swain

Charles Schwab & Co., Inc.

West Hartford, CT

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2023-04-20
  • CT RA
    APPROVED
    Since 2023-04-20

Branch Locations

11 South Main Street, West Hartford, CT 06107 • 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
Td Ameritrade, Inc. West Hartford CT 12/2014 12/2020
Td Ameritrade Investment Management West Hartford CT 12/2014 12/2020
Equitable Advisors, Llc New York NY 02/2021 01/2022
Gwfs Equities, Inc Greenwood Village CO 01/2022 03/2023
Advised Assets Group, Llc Greenwood Village CO 01/2022 03/2023
Charles Schwab & Co., Inc. West Hartford CT 04/2023 Present
Charles Schwab Bank, Ssb West Hartford CT 04/2023 Present
  • 12/2014 → 12/2020
    Td Ameritrade, Inc.
    West Hartford, CT
  • 12/2014 → 12/2020
    Td Ameritrade Investment Management
    West Hartford, CT
  • 02/2021 → 01/2022
    Equitable Advisors, Llc
    New York, NY
  • 01/2022 → 03/2023
    Gwfs Equities, Inc
    Greenwood Village, CO
  • 01/2022 → 03/2023
    Advised Assets Group, Llc
    Greenwood Village, CO
  • 04/2023 → Present
    Charles Schwab & Co., Inc.
    West Hartford, CT
  • 04/2023 → Present
    Charles Schwab Bank, Ssb
    West Hartford, CT
Previous Registrations
  • 2022-01-20 → 2023-03-28
    Empower Advisory Group, Llc
    Greenwood Village, CO
    Madison, CT
  • 2021-02-01 → 2022-01-11
    Equitable Advisors, Llc
    Shelton, CT
  • 2015-01-08 → 2021-01-11
    Td Ameritrade, Inc.
    West Hartford, CT
    Waterford, CT
  • 2015-01-08 → 2020-12-31
    Td Ameritrade Investment Management, Llc
    West Hartford, CT
    Waterford, CT
  • 2011-11-29 → 2015-01-07
    Equitable Advisors, Llc
    Shelton, CT
  • 2009-01-12 → 2011-07-26
    Global Portfolio Strategies, Inc.
    Hartford, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-12-29
S63 Uniform Securities Agent State Law Examination 2001-07-13
  • S65 Uniform Investment Adviser Law Examination
    2008-12-29
  • S63 Uniform Securities Agent State Law Examination
    2001-07-13
Other Names
  • Benjamin Swain
  • Benjamin L Swain
  • Ben Swain

View on SEC IAPD

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