Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael D Swain is a financial advisor with over 34 years of experience in the financial services industry. Michael is a CERTIFIED FINANCIAL PLANNER™ professional and holds FINRA Series 6, 7, 24, 51, 63 and 65 securities licenses. Michael currently works with Raymond James Financial Services Advisors, Inc. and is registered to provide investment advice in multiple states including Tennessee and Texas. Previously, Michael worked for VERAVEST INVESTMENTS, INC. Michael provides financial planning and investment management services to individuals, families, businesses, and retirement plans.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
TN
01/02/2009 - Present
Raymond James Financial Services Advisors, Inc. (Memphis TN)
MA
11/01/1988 - 02/12/2003
VERAVEST INVESTMENTS, INC. (WORCESTER MA)
IA
Issued 12/26/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/31/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/15/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 02/11/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/27/1996
Series 7 - General Securities Representative Examination
BC
Issued 10/31/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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