Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard David Swanson is a financial advisor with over 30 years of experience in the industry. Richard currently works with Kestra Advisory Services, LLC and Kestra Investment Services, LLC, and offers investment advisory services and insurance products. Richard has worked for several major firms during their career, including Morgan Stanley, Merrill Lynch, and McDonald Investments. Richard has a strong track record of success and is committed to providing his clients with personalized financial advice and guidance.
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.
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.
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.
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2
NY
06/07/2021 - Present
Kestra Advisory Services, LLC (Williamsville NY)
NY
06/01/2009 - 08/07/2015
MORGAN STANLEY (ROCHESTER NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ROCHESTER NY)
NY
05/13/2005 - 04/02/2007
MORGAN STANLEY DW INC. (ROCHESTER NY)
NY
10/07/2003 - 05/17/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
OH
03/07/2002 - 06/27/2003
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
CA
11/29/1999 - 03/11/2002
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
MD
12/02/1997 - 11/02/1999
M&T SECURITIES, INC. (BALTIMORE MD)
PA
02/10/1986 - 09/30/1997
CIGNA FINANCIAL ADVISORS,INC. (RADNOR PA)
BOTH
Issued 11/04/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/28/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/2002
Series 7 - General Securities Representative Examination
BC
Issued 12/04/1987
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 02/07/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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