Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jo? Claim Your ProfileJo Ann Swatt-csire is a Registered Representative and Investment Advisor Representative with over 20 years of experience in the financial services industry. Jo Ann is currently affiliated with Wells Fargo Clearing Services, LLC, and has held previous roles with Chase Investment Services Corp. and J.P. Morgan Securities Inc. Jo Ann holds several licenses and certifications, including Series 7, Series 52, Series 53, Series 63, and Series 65. Jo Ann's expertise lies in providing a range of financial services, including investment consulting, financial planning, and portfolio management.
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.
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.
Investment consulting services to institutional clients
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
CT
07/01/2011 - Present
Wells Fargo Clearing Services, LLC (NEW HAVEN CT)
CT
10/09/2007 - 07/20/2011
CHASE INVESTMENT SERVICES CORP. (SHELTON CT)
CT
01/24/2007 - 10/08/2007
J.P. MORGAN SECURITIES INC. (SHELTON CT)
IL
03/28/2001 - 03/10/2006
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
NY
07/01/1997 - 03/12/1999
CHASE SECURITIES INC. (NEW YORK NY)
NY
04/01/1996 - 03/12/1997
CHASE SECURITIES INC. (NEW YORK NY)
MD
05/24/1995 - 04/01/1996
CHASE SECURITIES, INC. (NEW YORK MD)
IA
Issued 02/05/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/21/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/23/1991
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/23/1995
Series 7 - General Securities Representative Examination
BC
Issued 08/26/1988
Series 52 - Municipal Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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