Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Byrne Swanson is a financial advisor currently registered with Raymond James & Associates, Inc. Scott has been working in the financial industry since September 13, 1974. Scott has a total of 22 state registrations and is a Certified Financial Planner. Scott has worked with a variety of firms throughout his career, including FORTH FINANCIAL SECURITIES, CORPORATION, GS2 SECURITIES, INC., LEHMAN BROTHERS INC., UNDERWOOD, NEUHAUS & CO., INCORPORATED, ANCHOR NATIONAL FINANCIAL SERVICES, INC., DEAN WITTER REYNOLDS INC., and DEAN WITTER & CO. INCORPORATED.
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.
Please see note in schedule d - miscellaneous
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
01/06/1997 - Present
Raymond James & Associates, Inc. (HOUSTON TX)
VA
10/04/1993 - 11/29/1995
FORTH FINANCIAL SECURITIES, CORPORATION (RICHMOND VA)
WI
05/18/1993 - 11/27/1995
GS2 SECURITIES, INC. (MILWAUKEE WI)
NY
04/19/1989 - 05/14/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
08/27/1974 - 04/04/1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
NA
11/30/1978 - 06/14/1979
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
NA
02/24/1978 - 09/12/1978
DEAN WITTER REYNOLDS INC.
NA
09/05/1974 - 02/24/1978
DEAN WITTER & CO. INCORPORATED
IA
Issued 07/28/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/27/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/28/1995
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/25/1993
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 08/01/1977
PC - AMEX Put and Call Exam
BC
Issued 08/27/1974
Series 000 - General Securities Principal Examination
BC
Issued 08/27/1974
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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