Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Clifford? Claim Your ProfileClifford Rue Swaby is a financial advisor who has been active in the industry since 1987. Clifford has been associated with LPL Financial LLC since November 2017 and is registered as a Registered Representative with both Florida and Texas. Prior to working with LPL Financial, Clifford was previously registered with WELLS FARGO CLEARING SERVICES, LLC, PRUDENTIAL SECURITIES INCORPORATED and THOMSON MCKINNON SECURITIES INC. Clifford has passed the Series 63, Series 7 and SIE exams. Clifford also holds a registration as an Investment Advisor Representative in Florida and Texas.
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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2
FL
02/12/2021 - Present
LPL Financial LLC (NAPLES FL)
FL
07/01/2003 - 11/08/2017
WELLS FARGO CLEARING SERVICES, LLC (FORT MYERS FL)
NY
09/15/1989 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
03/24/1987 - 09/16/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
BC
Issued 04/03/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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