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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kimberly? Claim Your ProfileKimberly Swaim is an investment advisor representative at Wells Fargo Clearing Services, LLC, with over 8 years of experience in the financial services industry. Kimberly holds Series 6, 7, 63, and 65 licenses as well as the SIE exam. Kimberly offers financial planning, investment consulting, and portfolio management services to individual and business clients. Kimberly is also licensed as an Investment Advisor Representative in North Carolina and Texas.
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.
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.
Investment consulting services to institutional clients
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
NC
06/16/2023 - Present
Wells Fargo Clearing Services, LLC (RALEIGH NC)
NC
05/02/2014 - 04/23/2021
WELLS FARGO CLEARING SERVICES, LLC (DURHAM NC)
IA
Issued 06/03/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/13/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/06/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/03/2022
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/02/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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