Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joshua? Claim Your ProfileJoshua Swinson is a financial advisor affiliated with Merrill Lynch, Pierce, Fenner & Smith Inc.. Joshua has been in the securities industry since 2001. Joshua specializes in providing portfolio management for individuals and businesses. Joshua is also a registered investment advisor representative and has been actively providing financial advice for over 20 years. Joshua has a total of 24 approved state registrations and has a current registration with Merrill Lynch, Pierce, Fenner & Smith Inc.. Joshua has passed the Series 6, Series 7, Series 63, Series 66, and the Securities Industry Essentials (SIE) exams.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
07/28/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (IRVINE CA)
MA
05/07/2004 - 05/12/2005
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
MA
01/19/2001 - 06/26/2002
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
BOTH
Issued 05/17/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/26/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/10/2013
Series 7 - General Securities Representative Examination
BC
Issued 01/18/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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