Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Matthew? Claim Your ProfileMatthew Swain is a financial advisor with Houlihan Lokey Capital, Inc., a firm based in New York. Matthew has a long history in the financial industry, having worked at Stifel, Nicolaus & Company, Incorporated and Eaton Partners, LLC. Matthew has a wide range of experience and is registered in 50 states.
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.
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.
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2
NY
05/20/2024 - Present
Houlihan Lokey Capital, Inc. (NEW YORK NY)
CT
03/29/2018 - 08/07/2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED (ROWAYTON CT)
CT
08/03/2017 - 03/29/2018
EATON PARTNERS, LLC (ROWAYTON CT)
BC
Issued 08/23/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/19/2022
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/2017
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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