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Nicole Swoish

Sanford C. Bernstein & CO., LLC

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About Nicole Swoish

Nicole Swoish is a registered representative with Sanford C. Bernstein & Co., LLC. Nicole has been in the financial services industry since 2021. Nicole has passed the Series 7TO, Series 63 and SIE exams. Nicole is currently registered to sell securities in California. Previously, Nicole was registered with Great Pacific Securities in Costa Mesa, CA.

Firm Information

Nicole Swoish is currently registered with Sanford C. Bernstein & CO., LLC. Sanford C. Bernstein & CO., LLC is a Limited Liability Company, registered with the SEC and in 53 states. It was formed on August 16, 2000, and has its main office in Nashville, TN. The firm manages between $1 billion and $10 billion in assets for various clients, including pooled investment vehicles, insurance companies, charitable organizations, high-net-worth individuals, and state or municipal government entities. Their advisory services primarily focus on portfolio management for pooled investment vehicles.
Sanford C. Bernstein & CO., LLC

501 COMMERCE STREET

NASHVILLE, TN 37203

$3.71B

Assets Under Management

Not reported

Total Clients

271

Total Financial Advisors

Services Offered

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.

Fee Structure

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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other

See schedule d, miscellaneous

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Nicole Swoish’s Registration & Firm History

CA

02/16/2024 - Present

Sanford C. Bernstein & CO., LLC (SAN DIEGO CA)

CA

09/17/2021 - 06/28/2023

GREAT PACIFIC SECURITIES (COSTA MESA CA)

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Licenses & Designations

BC

Issued 03/28/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/16/2021

Series 7TO - General Securities Representative Examination

BC

Issued 04/23/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicole Swoish.
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