Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael John Swain is an investment advisor representative with LPL Financial LLC. Michael has been in the securities industry since September 2003 and has a Series 6, 7, 63, and 65 license. He offers a wide range of services including financial planning, portfolio management, and retirement planning. He is also registered with the states of California, Arizona, Idaho, Nevada, New York, North Carolina, Texas, Virginia, and Washington. Michael's previous employment experience includes First Investors Corporation. Michael has a background in insurance and provides services to individual clients, businesses, and charities.
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.
Consulting and other non-discretionary advisory services
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.
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2
CA
04/11/2023 - Present
LPL Financial LLC (SAN DIEGO CA)
CA
09/15/2003 - 03/17/2008
FIRST INVESTORS CORPORATION (SAN DIEGO CA)
IA
Issued 06/30/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/19/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/25/2010
Series 7 - General Securities Representative Examination
BC
Issued 09/12/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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