Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Swapneel? Claim Your ProfileSwapneel Patel is a financial advisor with Osaic Wealth, Inc. Swapneel has been in the financial industry since 2001 and has experience with a variety of firms. Swapneel is a registered representative in Arizona and holds the Series 6, 7, 24, 63, 6TO, and SIE licenses. Osaic Wealth, Inc. offers financial planning, pension consulting, educational seminars, and portfolio management services to individuals, businesses, charitable organizations, and retirement plans.
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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AZ
11/27/2018 - Present
Osaic Wealth, Inc. (SCOTTSDALE AZ)
GA
04/09/2021 - 08/23/2024
TRIAD ADVISORS LLC (ATLANTA GA)
NE
04/09/2021 - 06/14/2024
SECURITIES AMERICA, INC. (LAVISTA NE)
MN
11/27/2018 - 01/19/2024
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)
GA
11/27/2018 - 11/03/2023
FSC SECURITIES CORPORATION (ATLANTA GA)
AZ
11/27/2018 - 09/01/2023
SAGEPOINT FINANCIAL, INC. (SCOTTSDALE AZ)
TX
11/10/2015 - 06/19/2018
CHARLES SCHWAB & CO., INC. (AUSTIN TX)
TX
02/28/2013 - 08/20/2015
NFP ADVISOR SERVICES, LLC (AUSTIN TX)
PA
05/06/2003 - 03/01/2013
VANGUARD MARKETING CORPORATION (MALVERN PA)
TX
10/13/2000 - 10/29/2002
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
TX
04/24/1998 - 06/17/1998
A I M DISTRIBUTORS, INC. (HOUSTON TX)
BC
Issued 11/01/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/29/2013
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 06/19/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/2000
Series 7 - General Securities Representative Examination
BC
Issued 04/23/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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