Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Harold? Claim Your ProfileHarold McSwain is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Harold has been in the industry since December 20, 1984. Harold McSwain has passed the Uniform Investment Adviser Law Examination (Series 65) and the Uniform Securities Agent State Law Examination (Series 63). Harold also holds the Series 7 and SIE licenses. Harold has 30 state registrations and 2 IA registrations. Harold is currently registered in Georgia and Texas. Harold is also registered in several other states, including but not limited to Alabama, Alaska, Arizona, California, Colorado, Florida, Illinois, Indiana, Kansas, Kentucky, Louisiana, Maryland, Massachusetts, Michigan, Minnesota, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Vermont, Virginia, Washington, Wisconsin, and Wyoming. Harold has been with Merrill Lynch since October 1984.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
GA
03/19/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MACON GA)
IA
Issued 09/28/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/28/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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