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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Howell Swift is a financial advisor with over 25 years of experience in the industry. John currently works with LPL Financial LLC and has been registered with the firm since 2019. Previously, John worked at Neuberger Berman BD LLC, Wells Fargo Clearing Services, LLC, Levco Securities, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. John has been registered as an Investment Advisor Representative for the State of California and has a combined Series 66 and Series 7 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.
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.
Consulting and other non-discretionary advisory services
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
FL
10/28/2020 - Present
LPL Financial LLC (BOCA RATON FL)
CA
11/14/2018 - 09/09/2019
WELLS FARGO CLEARING SERVICES, LLC (IRVINE CA)
CA
06/27/2005 - 02/06/2018
NEUBERGER BERMAN BD LLC (LOS ANGELES CA)
NY
08/01/2000 - 06/24/2005
LEVCO SECURITIES, INC. (NEW YORK NY)
NY
01/23/1993 - 08/18/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 01/10/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/02/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/06/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/11/1993
Series 3 - National Commodity Futures Examination
BC
Issued 01/08/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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