Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kimberly? Claim Your ProfileKimberly Swanson is a financial advisor with over 20 years of experience in the financial services industry. Kimberly has worked with a variety of firms including RAYMOND JAMES & ASSOCIATES, INC. and DEUTSCHE BANK SECURITIES INC. Kimberly is currently registered with Charles Schwab & CO., Inc. and is licensed in 19 states. Kimberly is committed to providing her clients with personalized financial advice and guidance.
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
1
2
CA
11/09/2018 - Present
Charles Schwab & CO., Inc. (Walnut Creek CA)
CA
09/06/2016 - 11/03/2017
RAYMOND JAMES & ASSOCIATES, INC. (San Francisco CA)
CA
09/19/2014 - 09/06/2016
DEUTSCHE BANK SECURITIES INC. (SAN FRANCISCO CA)
CA
09/24/2012 - 08/13/2014
AXA ADVISORS, LLC (SAN FRANCISCO CA)
CA
03/01/1995 - 07/10/1997
PROGRESSIVE ASSET MANAGEMENT, INC. (SAN RAFAEL CA)
NA
03/10/1989 - 09/13/1994
ALEX. BROWN & SONS INCORPORATED
PA
02/01/1988 - 03/18/1989
JANNEY MONTGOMERY SCOTT INC. (PHILADELPHIA PA)
NA
10/20/1987 - 01/28/1988
THE STUART-JAMES COMPANY, INC.
IA
Issued 12/07/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/19/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/01/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/27/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/03/1995
Series 24 - General Securities Principal Examination
BC
Issued 11/03/2017
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/2012
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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