Benjamin Lewis Swain
Investment adviser representative at Charles Schwab & Co., Inc.
12 yearsExperience
1 stateRegistered in
$0Firm assets
39 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Fixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
Experience
12 years in the industry.
- Charles Schwab & Co., Inc.Apr 2023 to now
- Charles Schwab Bank, SsbApr 2023 to now
- Advised Assets Group, LLCJan 2022 to Mar 2023
- Gwfs Equities, IncJan 2022 to Mar 2023
- Equitable Advisors, LLCFeb 2021 to Jan 2022
- TD Ameritrade Investment ManagementDec 2014 to Dec 2020
- TD Ameritrade, Inc.Dec 2014 to Dec 2020
Exams passed
- Series 63 · Uniform Securities Agent State Law2001
- Series 65 · Uniform Investment Adviser Law2008
State registrations
Registered as an investment adviser representative in 1 state (CT).
Charles Schwab & Co., Inc.
$0Assets managed
0Clients
6,777Advisers
39 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 3244681
- Firm CRD
- 5393