Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brad? Claim Your ProfileBrad Thomas Swanson is a financial professional with over 20 years of experience in the industry. Brad has held positions at several firms including RBC Capital Markets Corporation and Stephens Inc. Brad is currently registered with Keybanc Capital Markets Inc. and holds Series 63, 79, SIE, 62 and Series 24 licenses. Brad is licensed to conduct business in Georgia.
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.
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.
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2
GA
08/10/2010 - Present
Keybanc Capital Markets Inc. (ATLANTA GA)
GA
02/29/2008 - 07/08/2010
RBC CAPITAL MARKETS CORPORATION (ATLANTA GA)
GA
02/06/2004 - 02/29/2008
RBC CAPITAL MARKETS CORPORATION (ATLANTA GA)
NY
03/14/2002 - 02/06/2004
RBC DAIN RAUSCHER INC. (NEW YORK NY)
AR
05/28/1999 - 06/08/2000
STEPHENS INC. (LITTLE ROCK AR)
MD
10/24/1997 - 01/22/1999
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
BC
Issued 09/01/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/09/2009
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1997
Series 62 - Corporate Securities Limited Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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