Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames McSwain has been a registered investment advisor since 1994. James has worked for several firms, including Merrill Lynch and Cetera Advisor Networks, and is currently employed by Raymond James Financial Services Advisors. James is registered as a Broker/Dealer in California and Texas, and is also registered as an Investment Advisor in California and Texas. James is a licensed agent and a general securities representative with the Series 7 and 63 licenses. He holds other industry licenses, including the Series 6, 24 and 52TO. He is also a Series 53 principal. James has a strong background in financial planning, portfolio management, and retirement planning.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
CA
12/04/2023 - Present
Raymond James Financial Services Advisors, Inc. (Chico CA)
CA
07/21/2005 - 12/07/2023
CETERA ADVISOR NETWORKS LLC (CHICO CA)
NY
06/22/1998 - 06/02/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
05/17/1995 - 05/29/1998
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
CA
07/06/1994 - 02/13/1995
ROBERT VAN SECURITIES, INC. (OAKLAND CA)
BC
Issued 07/14/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/24/2011
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/22/2009
Series 24 - General Securities Principal Examination
BC
Issued 12/04/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/24/1995
Series 7 - General Securities Representative Examination
BC
Issued 07/01/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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