Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bradley? Claim Your ProfileBradley Lester Swain is a financial advisor who has been in the industry since September 13, 1995. Bradley is currently registered with Wedbush Securities Inc. and is based in San Diego, California. Prior to joining Wedbush Securities, Bradley worked at UBS Financial Services Inc. and Dean Witter Reynolds Inc. Bradley is a licensed investment advisor and holds the Series 63, Series 65, Series 7, Series 31 and SIE licenses. Bradley is specialized in various areas including retirement planning, college savings, investment planning and estate planning.
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.
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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2
CA
04/30/2009 - Present
Wedbush Securities Inc. (SAN DIEGO CA)
CA
02/09/2001 - 05/13/2009
UBS FINANCIAL SERVICES INC. (SAN DIEGO CA)
NY
09/14/1995 - 02/26/2001
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 10/11/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/19/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 09/13/1995
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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