Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Keaton? Claim Your ProfileKeaton Stewart Swayze is a financial advisor registered with Fidelity Personal AND Workplace Advisors. Keaton has been in the financial services industry since July 2003 and has a Series 6, 7, 63, and 66 securities license, as well as a Series SIE. Keaton is also licensed to provide investment advisory services in Texas. Previous work experience includes roles with Fidelity Brokerage Services LLC, Wells Fargo Investments, LLC, Chase Investment Services Corp., ProEquities, Inc., Riversource Distributors, Inc., Ameriprise Financial Services, Inc., BANC One Securities Corporation, and WM Financial Services, Inc.
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.
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.
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.
A percentage of the total value of assets under management is charged.
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2
TX
07/13/2018 - Present
Fidelity Personal AND Workplace Advisors (SPRING TX)
OR
05/02/2011 - 01/30/2013
FIDELITY BROKERAGE SERVICES LLC (PORTLAND OR)
MN
03/16/2010 - 11/23/2010
WELLS FARGO INVESTMENTS, LLC (BRAINERD MN)
TX
09/18/2009 - 01/20/2010
CHASE INVESTMENT SERVICES CORP. (BELLAIRE TX)
MN
04/02/2009 - 08/31/2009
WELLS FARGO INVESTMENTS, LLC (PEQUOT LAKES MN)
AL
02/07/2008 - 02/25/2009
PROEQUITIES, INC. (BIRMINGHAM AL)
MN
01/01/2007 - 01/03/2008
RIVERSOURCE DISTRIBUTORS, INC. (MINNEAPOLIS MN)
MN
04/11/2006 - 01/01/2007
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
TX
07/06/2005 - 03/20/2006
CHASE INVESTMENT SERVICES CORP. (HOUSTON TX)
IL
04/19/2005 - 07/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
CA
09/23/2002 - 12/17/2004
WM FINANCIAL SERVICES, INC. (IRVINE CA)
CA
10/02/2001 - 08/29/2002
METLIFE INVESTORS DISTRIBUTION COMPANY (NEWPORT BEACH CA)
BOTH
Issued 06/24/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/03/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/11/2002
Series 7 - General Securities Representative Examination
BC
Issued 09/29/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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