Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rita? Claim Your ProfileRita Swann is a financial advisor with over 25 years of experience in the financial services industry. Rita is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Rita has held previous positions at MORGAN STANLEY, NEXT FINANCIAL GROUP, INC., TRANSAMERICA FINANCIAL ADVISORS, INC., and NATIONAL PLANNING CORPORATION. Rita holds licenses for Series 65, Series 63, Series 9, Series 10, Series 24, Series 7, SIE, and Series 99TO. Rita specializes in retirement planning, estate planning, and investment management.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
TX
08/05/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (THE WOODLANDS TX)
TX
03/27/2019 - 07/27/2021
MORGAN STANLEY (Houston TX)
TX
05/22/2018 - 03/12/2019
NEXT FINANCIAL GROUP, INC. (HOUSTON TX)
CA
11/07/2017 - 05/23/2018
TRANSAMERICA FINANCIAL ADVISORS, INC (LAGUNA HILLS CA)
CA
03/13/2017 - 07/13/2017
TRANSAMERICA FINANCIAL ADVISORS, INC (LAGUNA HILLS CA)
CA
02/24/2015 - 12/21/2016
TRANSAMERICA FINANCIAL ADVISORS, INC (LAGUNA HILLS CA)
CA
05/13/2013 - 06/06/2013
NATIONAL PLANNING CORPORATION (IRVINE CA)
CA
05/05/2010 - 09/13/2011
BARCLAYS CAPITAL INC. (SANTA MONICA CA)
CA
07/30/2007 - 04/29/2010
PERSHING LLC (LOS ANGELES CA)
CA
08/16/2001 - 07/25/2007
BEAR, STEARNS & CO. INC. (LOS ANGELES CA)
CA
08/16/2001 - 07/25/2007
BEAR, STEARNS SECURITIES CORP. (LOS ANGELES CA)
CA
03/28/2001 - 07/16/2001
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
TX
11/02/1998 - 06/16/1999
AMERICAN INDUSTRIES RETIREMENT SECURITIES CORPORATION (HOUSTON TX)
TX
12/03/1993 - 11/26/1996
SANDERS MORRIS MUNDY INC. (HOUSTON TX)
NY
04/22/1993 - 12/16/1993
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
MO
04/04/1992 - 04/23/1993
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NA
06/01/1987 - 08/28/1991
PAINEWEBBER INCORPORATED
NY
03/09/1990 - 06/11/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
IA
Issued 4/30/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 5/12/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 8/3/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 6/26/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 7/1/2008
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/25/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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