Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cecilia? Claim Your ProfileCecilia Swain is an investment advisor representative with J.p. Morgan Securities LLC. Cecilia has been in the industry since 1993 and has held registrations with several other firms previously. Cecilia has a wide range of experience and holds a variety of licenses and certifications, including Series 7, Series 26, Series 63, and Series 65. Cecilia is registered in 17 states and is also a registered representative with FINRA. Cecilia's current branch office location is in Walnut Creek, CA.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
02/04/2015 - Present
J.p. Morgan Securities LLC (WALNUT CREEK CA)
CA
05/13/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (CONCORD CA)
CA
12/11/2008 - 03/18/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CONCORD CA)
CA
01/11/1994 - 02/15/2007
ATLAS SECURITIES, LLC (SAN LEANDRO CA)
NA
11/17/1993 - 01/04/1994
BROOKS SECURITIES, INCORPORATED
IA
Issued 12/29/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/14/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/02/2001
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/1993
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
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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