Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Perry? Claim Your ProfilePerry Douglas Swanson is an investment professional with over 20 years of experience in the financial services industry. Currently, Perry is a registered representative at RBC Capital Markets, LLC. Prior to that, Perry worked at Woodbury Financial Services, Inc., Ameriprise Financial Services, Inc., U.S. BANCORP PIPER JAFFRAY INC., U.S. BANCORP INVESTMENTS, INC., American Express Financial Advisors Inc., and IDS Life Insurance Company. Perry holds a variety of licenses and certifications, including Series 3, 7, 31, SIE, and 99TO. Perry is a licensed representative in Minnesota and New York.
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
MN
02/25/2011 - Present
RBC Capital Markets, LLC (MINNEAPOLIS MN)
MN
05/06/2010 - 03/16/2011
WOODBURY FINANCIAL SERVICES, INC. (WOODBURY MN)
MN
11/20/2007 - 07/09/2008
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
MN
01/15/2003 - 05/01/2007
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
MN
05/23/2002 - 12/02/2002
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
MN
07/02/2001 - 04/26/2002
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
MN
03/28/2001 - 04/12/2001
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
03/28/2001 - 04/12/2001
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
NY
03/10/2000 - 11/24/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 05/02/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/10/2010
Series 3 - National Commodity Futures Examination
BC
Issued 03/17/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 03/09/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
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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