Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Swarbrick is a financial advisor with Osaic Wealth, Inc. Stephen has been in the financial services industry since June 5, 1994 and is licensed in 25 states, including California, Arizona, and Texas. Stephen also holds the Series 6, 7, 63 and 66 licenses. Stephen previously worked for Woodbury Financial Services, Inc., and Quest Capital Corporation.
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.
A percentage of the total value of assets under management is charged.
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CA
01/19/2024 - Present
Osaic Wealth, Inc. (EL DORADO HILLS CA)
CA
03/01/2019 - 01/19/2024
WOODBURY FINANCIAL SERVICES, INC. (EL DORADO HILLS CA)
CA
10/24/2012 - 03/01/2019
QUESTAR CAPITAL CORPORATION (ROSEVILLE CA)
CA
09/23/2003 - 10/26/2012
WOODBURY FINANCIAL SERVICES, INC. (ROSEVILLE CA)
CA
02/12/1998 - 09/23/2003
WM FINANCIAL SERVICES, INC. (IRVINE CA)
CA
06/06/1994 - 05/01/1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
BOTH
Issued 04/10/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/07/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/1996
Series 7 - General Securities Representative Examination
BC
Issued 06/03/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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