Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Patrick Swetish is a financial advisor with over 30 years of experience in the industry. Richard has a strong background in the financial services industry, having worked at firms such as Wells Fargo Clearing Services, LLC, M.E. Allison & Co., Inc., and Morgan Stanley Smith Barney. Richard is currently registered with Frost Investment Services and is licensed in both California and Texas. Richard holds the Series 31, Series 6, Series 7, and Series 63 licenses as well as the SIE exam. Richard provides financial planning and portfolio management services for both individuals and businesses.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
TX
08/13/2024 - Present
Frost Investment Services (CORPUS CHRISTI TX)
TX
05/31/2016 - 08/15/2024
WELLS FARGO CLEARING SERVICES, LLC (CORPUS CHRISTI TX)
TX
07/25/2012 - 06/09/2016
M. E. ALLISON & CO., INC. (CORPUS CHRISTI TX)
TX
08/03/2010 - 12/04/2012
PRESIDIO FINANCIAL SERVICES, INC. (CORPUS CHRISTI TX)
TX
06/01/2009 - 08/16/2010
MORGAN STANLEY SMITH BARNEY (CORPUS CHRISTI TX)
TX
08/06/2004 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CORPUS CHRISTI TX)
NJ
02/02/1998 - 08/23/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
06/10/1993 - 02/18/1998
EQ FINANCIAL CONSULTANTS, INC. (NEW YORK NY)
NY
06/10/1993 - 02/18/1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
IA
Issued 05/13/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/30/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/26/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 05/06/1998
Series 7 - General Securities Representative Examination
BC
Issued 06/09/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure Richard Swetish is the right advisor for you? Invested Better is here to help.
