Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Christopher Swanson is a financial advisor who has been in the industry since 2002. He is currently registered with UBS Financial Services Inc. and has previously worked at Dreyfus Service Corporation, Chase Investment Services Corp., Lincoln Financial Advisors Corporation, The Lincoln National Life Insurance Company, and New England Securities. Robert has a wide range of experience in the financial industry, including experience in portfolio management for individuals and businesses, financial planning, pension consulting, and educational seminars. He holds a number of licenses and certifications, including Series 3, 6, 7, 9, 10, 63, and 65. Robert is committed to providing his clients with the highest level of service and expertise.
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.
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.
See schedule d - miscellaneous
1
2
NY
10/26/2021 - Present
UBS Financial Services Inc. (BUFFALO NY)
NY
08/19/2004 - 04/10/2006
DREYFUS SERVICE CORPORATION (NEW YORK NY)
IL
03/08/2004 - 08/02/2004
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
IN
11/11/2002 - 01/21/2004
LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)
IN
11/11/2002 - 01/21/2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (FORT WAYNE IN)
NY
03/06/2002 - 10/16/2002
NEW ENGLAND SECURITIES (NEW YORK NY)
IA
Issued 12/16/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/19/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/04/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/09/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/11/2009
Series 3 - National Commodity Futures Examination
BC
Issued 06/16/2003
Series 7 - General Securities Representative Examination
BC
Issued 03/05/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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