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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sterling? Claim Your ProfileSterling Swaim is a registered investment advisor with Wells Fargo Advisors Financial Network, LLC. Sterling has been in the financial services industry since 2001 and has a Series 7, Series 31, Series 63 and Series 65 license. Sterling is also registered with the states of Alabama, Alaska, Arizona, California, Colorado, Delaware, District of Columbia, Florida, Georgia, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Michigan, Minnesota, Missouri, Montana, Nebraska, New Jersey, New York, North Carolina, North Dakota, Ohio, Oklahoma, Pennsylvania, South Carolina, South Dakota, Tennessee, Texas, Utah, Virginia, Washington, Wisconsin and Wyoming. Sterling has experience in investment consulting services to institutional clients, financial planning, pension consulting, selection of other advisors, portfolio management for businesses and portfolio management for individuals.
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.
Investment consulting services to institutional clients
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.
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NC
10/11/2022 - Present
Wells Fargo Advisors Financial Network, LLC (WINSTON-SALEM NC)
NC
09/24/2001 - 10/11/2022
WELLS FARGO CLEARING SERVICES, LLC (WINSTON SALEM NC)
IA
Issued 10/17/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/18/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/14/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 09/06/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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