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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Swan? Claim Your ProfileSwan Sihua Shen is an active financial advisor with over 23 years of experience in the industry. Currently, Swan Sihua Shen is a registered representative of Osaic Wealth, Inc. and is also registered as an investment advisor in the state of Massachusetts. Swan Sihua Shen has previously worked for Sagepoint Financial, Inc., Capital Financial Services, Inc. and other firms. Swan Sihua Shen holds Series 6, 7, 24, 63, and 66 licenses and is a Certified Financial Planner and a Chartered Financial Consultant. Swan Sihua Shen provides financial planning, pension consulting, and portfolio management services to a range of clients, including individuals, businesses, and charitable organizations.
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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2
MA
09/01/2023 - Present
Osaic Wealth, Inc. (BURLINGTON MA)
MA
07/01/2019 - 09/01/2023
SAGEPOINT FINANCIAL, INC. (BURLINGTON MA)
MA
10/14/2014 - 07/01/2019
CAPITAL FINANCIAL SERVICES, INC. (Burlington MA)
MA
02/03/2014 - 03/21/2014
CANTELLA & CO., INC. (BOSTON MA)
ND
11/20/2013 - 12/19/2013
CAPITAL FINANCIAL SERVICES, INC. (MINOT ND)
MA
04/04/2001 - 09/24/2013
CUNA BROKERAGE SERVICES, INC. (WALTHAM MA)
MA
12/09/1999 - 02/27/2001
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
12/09/1999 - 02/27/2001
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
NY
06/05/1998 - 11/05/1999
MONY SECURITIES CORPORATION (NEW YORK NY)
BOTH
Issued 04/07/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/03/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/04/2024
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/26/2000
Series 7 - General Securities Representative Examination
BC
Issued 06/03/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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