Verified
Noel Bateman Swain is a financial advisor with over 30 years of experience in the industry. Noel is a registered representative and investment advisor representative with Cambridge Investment Research Advisors, Inc. Previously, Noel worked with Transamerica Financial Advisors, Inc., and PW Securities, Inc. Noel has a broad range of experience, including financial planning, portfolio management, and insurance services. Noel holds the Series 7, Series 24, and Series 63 licenses, and is also a Certified Financial Planner.
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.
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.
Solicitation fees from 3rd party money managers
1
2
SC
03/22/2016 - Present
Cambridge Investment Research Advisors, Inc. (Spartanburg SC)
SC
04/01/1991 - 04/21/2016
TRANSAMERICA FINANCIAL ADVISORS, INC (SPARTANBURG SC)
NA
06/05/1984 - 04/01/1991
PW SECURITIES, INC.
BC
Issued 07/16/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/11/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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