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BS

Benjamin D. Swann

MARSHBERRY CAPITAL.
Plano, TX 75024
Some features on this profile are disabled
CRD#: 6100873
BS

Professional summary

Benjamin Derek Swann, who also goes by Ben Derek Swann, is a registered financial professional currently at MARSHBERRY CAPITAL, LLC. located in Plano, Texas.

Benjamin is registered as a RR (Registered Representative) and started their career in finance in 2013. Benjamin has worked at 1 firm and has passed the Series 63, SIE and Series 62 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ben Derek Swann

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Benjamin Derek Swann's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 25, 2013 - Present

MARSHBERRY CAPITAL, LLC.

Office #1: 7160 N. Dallas Pkwy, #530, Plano, TX 75024
BD
CRD#: 157384
Plano, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Maryland
(10/1/2014)
RR
Michigan
(10/30/2025)
RR
Rhode Island
(1/31/2017)
RR
Texas
(12/23/2013)
RR
Wisconsin
(9/30/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 12/23/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 9/25/2013
Corporate Securities Limited Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MARSHBERRY CAPITAL, LLC.
MARSHBERRY CAPITAL, INC. | MARSHBERRY CAPITAL, LLC.

CRD#: 157384 / SEC#: , 8-68848

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
28601 Chagrin Boulevard Suite 400, Woodmere, OH 44122
Mailing Address
28601 Chagrin Boulevard Suite 400, Woodmere, OH 44122
Phone number
(440) 354-3230
Established
Ohio since 11/24/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (45 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MARSH, BERRY & COMPANY, LLCPARENT
HENDERSON, STUART ROBERTFINOP1121476
METZ, MICHAEL JAMESCFO & PRINCIPAL OPERATIONS OFFICER6367067
STOVER, MELISSA MARIECHIEF COMPLIANCE OFFICER6155694
WEPLER, JOHN MARTINCEO5914183

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

MARSHBERRY CAPITAL, LLC.

CRD#: 157384Plano, TX 75024

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