Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Raphael? Claim Your ProfileRaphael Patrick Swann is a financial advisor who is licensed to sell securities in California. Raphael Patrick Swann joined Moelis & Co. LLC in August 2016. The firm’s main office is located in Los Angeles, California. Raphael Patrick Swann has passed the Series 63, Series 7, and Series 79 exams.
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.
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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CA
08/01/2016 - Present
Moelis & Co. LLC (LOS ANGELES CA)
BC
Issued 05/27/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/2016
Series 7 - General Securities Representative Examination
BC
Issued 08/01/2016
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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