Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stuart? Claim Your ProfileStuart Swanson is a financial advisor with Wells Fargo Advisors Financial Network, LLC, located in Raleigh, NC. Stuart has over 25 years of experience in the financial services industry. Stuart is registered with the state of North Carolina, as well as South Carolina, Texas, Virginia, and West Virginia. Stuart is a Series 7, Series 31, Series 63, and Series 65 licensed financial advisor. Stuart has also passed the Securities Industry Essentials (SIE) exam. Stuart is a Registered Representative and Investment Advisor Representative. Stuart has been with Wells Fargo Advisors Financial Network, LLC since 2022. Stuart previously worked with Wells Fargo Clearing Services, LLC, and First Union Capital Markets Corp.
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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2
NC
04/21/2023 - Present
Wells Fargo Advisors Financial Network, LLC (RALEIGH NC)
VA
10/01/1999 - 03/18/2022
WELLS FARGO CLEARING SERVICES, LLC (ROANOKE VA)
NC
12/16/1996 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
IA
Issued 01/30/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/19/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/01/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 12/13/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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