Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Evan? Claim Your ProfileEvan Bradley Swain is a financial advisor with UBS Financial Services Inc., with over 25 years of experience in the financial industry. Evan Swain is licensed to provide investment advice in 29 states and holds several industry certifications, including the Series 3, 7, 31, and 65 licenses. Previously, Evan Swain was employed by Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
12/05/2008 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
04/02/2007 - 12/08/2008
MORGAN STANLEY & CO. INCORPORATED (LA JOLLA CA)
CA
08/16/1994 - 04/02/2007
MORGAN STANLEY DW INC. (LAJOLLA CA)
IA
Issued 02/06/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/23/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/12/1995
Series 3 - National Commodity Futures Examination
BC
Issued 08/26/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 08/15/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Evan Swain is the right advisor for you? Invested Better is here to help.
