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Paula Swaby

J.p. Morgan Securities LLC

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About Paula Swaby

Paula Swaby is a registered representative with J.P. Morgan Securities LLC. Paula has been in the securities industry since 2003. Paula is licensed in Connecticut, New Jersey, and New York. Paula has a Series 6, Series 63, and SIE license. Paula has experience with CHASE INVESTMENT SERVICES CORP. and NYLIFE SECURITIES INC. Paula's prior registration history includes previous experience with NYLIFE SECURITIES INC. and CHASE INVESTMENT SERVICES CORP. Paula is currently located in Brooklyn, NY.

Firm Information

Paula Swaby is currently registered with J.p. Morgan Securities LLC. J.p. Morgan Securities LLC is a Limited Liability Company formed in 1985. It is headquartered in NEW YORK, NY, United States. The firm has over 50 billion in assets under management and provides a variety of financial services, including financial planning, pension consulting, portfolio management for individuals and businesses, and selection of other advisors.
J.p. Morgan Securities LLC

383 MADISON AVE

NEW YORK, NY 10179

$249.73B

Assets Under Management

262,026

Total Clients

26,783

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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percentage of assets

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

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other

Fee computed based on cents-per-share-deposited-into-the-account

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Paula Swaby’s Registration & Firm History

NY

04/22/2013 - Present

J.p. Morgan Securities LLC (BROOKLYN NY)

NY

12/19/2003 - 06/23/2008

CHASE INVESTMENT SERVICES CORP. (BROOKLYN NY)

NY

04/17/2003 - 01/12/2004

NYLIFE SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/29/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/19/2013

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Paula Swaby.
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