Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas William Swartz is an Investment Advisor Representative associated with Edelman Financial Engines. Douglas has been in the financial services industry since 1999 and has held various positions at different financial institutions. Douglas holds several licenses and registrations including Series 63, Series 65, Series 7, and Series 24. Douglas specializes in providing financial planning, portfolio management for individuals and businesses, and educational seminars.
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.
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.
Set-up fees & related svcs; reimbursements for printed materials
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2
VA
11/01/2018 - Present
Edelman Financial Engines (HENRICO VA)
VA
04/22/2016 - 10/15/2019
EF LEGACY SECURITIES, LLC (HENRICO VA)
VA
06/11/2013 - 04/22/2016
SANDERS MORRIS HARRIS LLC (HENRICO VA)
VA
08/15/2008 - 02/01/2012
SANDERS MORRIS HARRIS INC. (HENRICO VA)
VA
02/05/1999 - 06/09/2008
FIRST CLEARING, LLC (RICHMOND VA)
NC
01/13/1999 - 02/05/1999
WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)
IA
Issued 05/24/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/04/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/16/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/12/1999
Series 7 - General Securities Representative Examination
Active
Inactive
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