Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patrick? Claim Your ProfilePatrick Stephen Swesey is a financial advisor with RBC Capital Markets, LLC. Patrick has been in the industry since July 1990 and has been with RBC Capital Markets, LLC since April 2017. Patrick has a total of 22 approved SRO registrations, 1 approved FINRA registration, and 35 approved state registrations. Patrick has a total of 3 state exam categories, 3 product exam categories, and 2 principal exam categories. Patrick Stephen Swesey is registered in 36 states and has a total of 22 registered states. Patrick is a licensed registered representative of RBC Capital Markets, LLC. The firm was founded in 2008. RBC Capital Markets, LLC has its main office in New York. Patrick Stephen Swesey is based in Edmonds, Washington and has a branch office in Arlington, Washington.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
WA
04/17/2001 - Present
RBC Capital Markets, LLC (EDMONDS WA)
NY
07/30/1990 - 10/22/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 03/26/2001
Series 66 - Uniform Combined State Law Examination
IA
Issued 07/28/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/05/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/24/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/14/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/06/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 07/26/1990
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
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Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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