Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adam? Claim Your ProfileAdam Swanda is a financial advisor with LPL Financial LLC. Adam has been in the financial services industry since 1997. Adam is a registered representative and investment advisor representative in Wisconsin. Adam is also registered in 12 other states and is a registered principal for LPL Financial LLC. Adam has worked for several other firms before LPL Financial LLC including SAGEPOINT FINANCIAL, INC., SENTRA SECURITIES CORPORATION, MOLONEY SECURITIES CO., INC., and TRANSAMERICA FINANCIAL RESOURCES, INC. Adam holds a Series 7, Series 63 and Series 65 licenses. Adam specializes in providing financial advice to individuals, businesses, and trusts. Adam has experience in developing investment strategies, managing portfolios, and providing retirement planning advice. Adam is committed to providing his clients with personalized financial guidance and helping them achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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WI
01/09/2024 - Present
LPL Financial LLC (NEW RICHMOND WI)
WI
10/31/2005 - 08/24/2018
SAGEPOINT FINANCIAL, INC. (NEW RICHMOND WI)
AZ
03/20/2002 - 10/31/2005
SENTRA SECURITIES CORPORATION (PHOENIX AZ)
MO
09/13/2000 - 03/18/2002
MOLONEY SECURITIES CO., INC. (MANCHESTER MO)
CA
11/21/1997 - 09/15/2000
TRANSAMERICA FINANCIAL RESOURCES, INC. (LOS ANGELES CA)
IA
Issued 01/10/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/03/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/20/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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