Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Keith? Claim Your ProfileKeith Arnold Swanson is a financial advisor with UBS Financial Services Inc. Keith has been working in the financial services industry since 1984. Keith is registered with the Financial Industry Regulatory Authority (FINRA) as a registered representative (Series 7, Series 24, Series 63 and SIE), and is also registered as an Investment Advisor Representative (Series 65) in multiple states. Keith holds a Certified Financial Planner designation.
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.
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.
See schedule d - miscellaneous
1
2
NJ
01/05/2006 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
NY
01/30/1990 - 06/16/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
05/23/1988 - 10/26/1989
F.N. WOLF & CO., INC.
NA
02/02/1987 - 05/20/1988
SHERWOOD CAPITAL, INC.
NA
02/27/1984 - 01/31/1987
FIRST JERSEY SECURITIES, INC.
IA
Issued 06/10/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/19/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/17/1989
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/18/1984
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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