Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patrick? Claim Your ProfilePatrick Swan is a financial advisor with over 20 years of experience in the industry. Patrick is registered to provide investment advice in Kentucky and has a Series 6, 7, 24, 63 and 65 licenses. Patrick is currently affiliated with Raymond James Financial Services Advisors, Inc. Patrick has held past positions with Nationwide Investment Services Corporation, Wells Fargo Funds Distributor, LLC, and Evergreen Investment Services, Inc. Patrick is also involved in community activities, serving on the finance and new business committees of Home of the Innocents in Louisville, Kentucky.
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
KY
08/27/2020 - Present
Raymond James Financial Services Advisors, Inc. (Elizabethtown KY)
KY
11/09/2017 - 01/07/2020
NATIONWIDE INVESTMENT SERVICES CORPORATION (Louisville KY)
MA
01/04/2010 - 09/12/2017
WELLS FARGO FUNDS DISTRIBUTOR, LLC (BOSTON MA)
MA
04/03/2000 - 01/04/2010
EVERGREEN INVESTMENT SERVICES, INC. (BOSTON MA)
IA
Issued 11/5/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 4/25/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 6/20/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/22/2003
Series 7 - General Securities Representative Examination
BC
Issued 3/28/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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