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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Pauline? Claim Your ProfilePauline Swenson Malmgren is a financial advisor with Raymond James Financial Services Advisors, Inc. Pauline has been in the financial services industry since 1988 and holds licenses for both securities and investment advisory services. Pauline works with individuals, businesses, corporations, trusts, and other entities. Pauline's specializations include financial planning, portfolio management, retirement planning, and estate planning.
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
VA
01/02/2009 - Present
Raymond James Financial Services Advisors, Inc. (FAIRFAX VA)
MD
02/05/1999 - 08/07/2008
CHEVY CHASE FINANCIAL SERVICES (BETHESDA MD)
DC
01/04/1999 - 02/09/1999
RIGGS INVESTMENT CORP. (WASHINGTON DC)
CA
12/01/1995 - 01/14/1999
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
NA
01/21/1993 - 12/17/1995
INDEPENDENT FINANCIAL SECURITIES, INC.
PA
03/17/1992 - 01/18/1993
JANNEY MONTGOMERY SCOTT INC. (PHILADELPHIA PA)
NA
09/20/1988 - 03/19/1992
DERAND/PENNINGTON/BASS, INC.
BOTH
Issued 05/08/2002
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/18/1990
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/06/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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