Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Holly? Claim Your ProfileHolly Swartz is a financial professional with over 20 years of experience in the financial services industry. Holly has a Series 7, Series 63 and SIE licenses. Holly currently works at Barings Securities LLC in Charlotte, NC. Holly has held previous positions at Princor Financial Services Corporation and Brenton Investments, Inc. Holly holds a Series 63 license.
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.
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.
1
2
NC
07/29/2014 - Present
Barings Securities LLC (CHARLOTTE NC)
IA
05/29/2001 - 04/23/2014
PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)
MN
08/16/1999 - 04/27/2001
BRENTON INVESTMENTS, INC. (PLYMOUTH MN)
IA
09/03/1998 - 07/26/1999
PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)
BC
Issued 06/22/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/02/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Holly Swartz is the right advisor for you? Invested Better is here to help.
