Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Craig? Claim Your ProfileCraig Swann is a financial advisor with over 20 years of experience in the industry. Currently, Craig Swann is registered with Wells Fargo Clearing Services, LLC, and has been associated with the firm since November 2016. Previously, Craig Swann worked at J.P. Morgan Securities LLC, CREDIT SUISSE SECURITIES (USA) LLC, and Wells Fargo Advisors LLC. Craig Swann holds a Series 63, Series 65, Series 7, Series 31, and Series 24 license. Craig Swann provides financial advice to individuals, businesses, and institutions, and has expertise in various areas, including investments, retirement planning, and estate planning. Craig Swann is a Registered Representative of Wells Fargo Clearing Services, LLC.
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.
Investment consulting services to institutional clients
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.
1
2
TX
12/17/2015 - Present
Wells Fargo Clearing Services, LLC (DALLAS TX)
TX
05/15/2015 - 12/28/2015
CREDIT SUISSE SECURITIES (USA) LLC (DALLAS TX)
TX
06/24/2013 - 06/04/2015
J.P. MORGAN SECURITIES LLC (DALLAS TX)
TX
06/24/2010 - 07/06/2012
PINEBRIDGE SECURITIES LLC (DALLAS TX)
ME
06/19/2006 - 12/31/2008
QUASAR DISTRIBUTORS, LLC (PORTLAND ME)
LA
05/28/2004 - 04/17/2006
HIBERNIA SOUTHCOAST CAPITAL, INC. (NEW ORLEANS LA)
MA
08/28/2002 - 05/17/2004
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
01/08/1999 - 08/22/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 01/28/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/14/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/27/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/12/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 01/07/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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