Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Swaro is a financial advisor with over 20 years of experience in the financial services industry. Joseph has worked with firms such as Morgan Stanley, Citigroup Global Markets Inc., and NatCity Investments, Inc. Joseph is currently registered with Wells Fargo Clearing Services, LLC. Joseph is licensed to provide securities and investment advisory services in many states. Joseph has passed Series 6, 7, 63, and 65 examinations. Joseph's areas of expertise include portfolio management for individuals, businesses, and pension consulting.
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
OH
01/03/2018 - Present
Wells Fargo Clearing Services, LLC (DUBLIN OH)
OH
06/01/2009 - 12/19/2017
MORGAN STANLEY (DUBLIN OH)
OH
09/19/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (DUBLIN OH)
OH
08/04/1997 - 09/22/2008
NATCITY INVESTMENTS, INC. (COLUMBUS OH)
OH
09/03/1999 - 12/31/2001
NATCITY INSURANCE SERVICES, INC. (CLEVELAND OH)
NY
08/03/1998 - 09/01/1999
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
NA
01/26/1998 - 08/03/1998
INDEPENDENT FINANCIAL SECURITIES, INC.
MA
04/16/1996 - 07/09/1997
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
04/16/1996 - 07/09/1997
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
IA
Issued 07/31/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/30/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/25/1997
Series 7 - General Securities Representative Examination
BC
Issued 04/15/1996
Series 6 - Investment Company Products/Variable Contracts 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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