Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bruce? Claim Your ProfileBruce John Swearingen is a registered representative with Principal Securities, Inc. Bruce has been in the financial services industry since 2008 and holds a Series 6, Series 7TO, Series 63, and Series 65 licenses. Bruce has a wide range of experience serving clients in various areas, including financial planning, portfolio management, and insurance products. Bruce is also registered with the states of Arizona, Arkansas, California, Colorado, Connecticut, Florida, Georgia, Hawaii, Kansas, Missouri, Oklahoma, Texas, Utah, and Washington. Bruce's experience and expertise make him a valuable resource for individuals and families seeking financial guidance.
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.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
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2
TX
05/15/2017 - Present
Principal Securities, Inc. (SAN ANTONIO TX)
IA
Issued 05/12/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/13/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/01/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/2008
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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