Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph M. Swain is a financial advisor with Charles Schwab & Co., Inc. in Fairfield, Connecticut. Joseph Swain has been in the industry for over 10 years and holds the Series 6, 7, 63 and 66 licenses. Joseph Swain has previous experience working with Fidelity Brokerage Services LLC, Charles Schwab & Co., Inc., Wells Fargo Advisors, LLC, Ameriprise Financial Services, Inc. and MetLife Securities Inc. Joseph Swain is registered to provide investment advice in 22 states including Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Maryland, Massachusetts, Minnesota, Nevada, New Hampshire, New Jersey, New York, Pennsylvania, Rhode Island, Tennessee, Texas, and Vermont. Joseph Swain's firm, Charles Schwab & Co., Inc., manages over $50 billion in client assets and has a strong focus on providing financial planning services. The firm is a wrap fee program sponsor and provides financial planning advisor referral programs.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
CT
04/25/2022 - Present
Charles Schwab & CO., Inc. (Fairfield CT)
CT
03/10/2021 - 03/23/2022
FIDELITY BROKERAGE SERVICES LLC (WEST HARTFORD CT)
NV
07/25/2014 - 02/26/2021
CHARLES SCHWAB & CO., INC. (Henderson NV)
NV
05/08/2013 - 06/25/2014
WELLS FARGO ADVISORS, LLC (LAS VEGAS NV)
NV
08/24/2012 - 12/04/2012
AMERIPRISE FINANCIAL SERVICES, INC. (LAS VEGAS NV)
NV
11/23/2011 - 08/31/2012
METLIFE SECURITIES INC. (LAS VEGAS NV)
BOTH
Issued 08/23/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/27/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/26/2012
Series 7 - General Securities Representative Examination
BC
Issued 11/21/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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