Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stacy? Claim Your ProfileStacy Swain is an investment advisor representative who has been in the financial services industry since April 1989. Stacy is currently registered with Rockefeller Financial LLC and has branch office locations in San Francisco and Walnut Creek, CA. Stacy has previous experience with firms like FIRST REPUBLIC SECURITIES COMPANY, LLC and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Stacy is also a registered investment advisor representative in Texas.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
CA
03/27/2023 - Present
Rockefeller Financial LLC (San Francisco CA)
CA
03/18/2016 - 04/24/2023
FIRST REPUBLIC SECURITIES COMPANY, LLC (Walnut Creek CA)
CA
02/13/2012 - 03/22/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
CA
04/28/1989 - 11/28/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
NY
12/14/1987 - 11/30/1989
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
NA
03/06/1985 - 06/04/1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
06/14/1983 - 01/29/1985
WATERHOUSE SECURITIES, INC.
IA
Issued 10/25/2012
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 08/25/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/15/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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