Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Cotter Swain is an investment professional currently registered with Needham & Company, LLC. Samuel has been in the industry for over 2 years and holds FINRA licenses including Series 79TO, SIE and Series 63. Samuel has passed the Investment Banking Registered Representative Examination, the Securities Industry Essentials Examination and the Uniform Securities Agent State Law Examination. Samuel is also registered in California, Massachusetts and New York.
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.
Securities research
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.
Pursuant to csa agreements
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2
MA
08/26/2022 - Present
Needham & Company, LLC (BOSTON MA)
BC
Issued 10/13/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/26/2022
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 06/24/2022
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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