Benjamin Swaney is a CFA, CFP-designated registered investment advisor at Wells Fargo Advisors, based in Raleigh, NC, with 18 years of industry experience. Benjamin is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Retirement Planning. Their firm serves 466,575 clients with $250B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
3110 Edwards Mill Rd, Ste 205, Raleigh, NC, 27612
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Benjamin owns 40% of Mifflin Capital S Corp and dedicates full-time hours to it. He also serves as trustee for multiple 401k plans and is affiliated with First Flight Financial Advisors, LLC, but spends minimal time on these activities.
Employment History
Current Registrations
Wells Fargo Advisors Financial Network, LLCBroker
Wells Fargo Advisors
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
State Registrations21 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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