linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Daniel Martin Swallow

Advisors Asset Management, Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Daniel? Claim Your Profile

About Daniel Martin Swallow

Daniel Swallow is a financial professional with over 30 years of experience in the industry. He is currently registered as a Registered Representative with Advisors Asset Management, Inc. in New Jersey and Pennsylvania. Daniel has held previous roles at Claymore Securities, Inc., Nuveen Investments, Olde Discount Corporation, and McLaughlin, Piven, Vogel Securities, Inc., gaining expertise in various aspects of financial services. His credentials include passing the Series 63, 65, 7, 8, 24, 79, and SIE exams, demonstrating his commitment to professional development and knowledge. Daniel is a dedicated professional who strives to provide comprehensive financial advice and services to individuals, investment companies, and businesses.

Firm Information

Daniel Swallow is currently registered with Advisors Asset Management, Inc.. Advisors Asset Management, Inc. is a corporation formed in 2008 and headquartered in Monument, Colorado. The firm provides investment advisory services to individuals, businesses, and pooled investment vehicles. They specialize in portfolio management and serve a wide range of clients including individuals, corporations, investment companies, pension plans, and other investment advisors. The firm is registered with the SEC and in all 50 states and the District of Columbia. Their website and social media presence provide access to their services and resources.
Advisors Asset Management, Inc.

18925 BASE CAMP ROAD

MONUMENT, CO 80132

$3.85B

Assets Under Management

Not reported

Total Clients

185

Total Financial Advisors

Services Offered

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.

check

portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

check

portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

check

portfolio management for investment companies

Strategic management for diversified investment portfolios.

check

supervisor/evaluator to unit investment trusts

Supervisor/evaluator to unit investment trusts

Fee Structure

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.

check

percentage of assets

A percentage of the total value of assets under management is charged.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Daniel Swallow’s Registration & Firm History

NJ

07/02/2007 - Present

Advisors Asset Management, Inc. (AUDUBON NJ)

NJ

12/21/2001 - 07/10/2007

CLAYMORE SECURITIES, INC. (HADDON TWP. NJ)

IL

07/20/1999 - 12/05/2001

NUVEEN INVESTMENTS (CHICAGO IL)

MI

10/11/1992 - 06/16/1999

OLDE DISCOUNT CORPORATION (DETROIT MI)

NY

01/07/1992 - 09/23/1992

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC. (NEW YORK NY)

Not sure if Daniel Martin Swallow is right for you?

Licenses & Designations

IA

Issued 04/18/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/16/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/17/1994

Series 24 - General Securities Principal Examination

BC

Issued 02/28/1994

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/09/1992

Series 7 - General Securities Representative Examination

BC

Issued 01/02/1992

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Daniel Martin Swallow.
Not sure if Daniel Martin Swallow is right for you?