Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Swan is a financial advisor registered with RBC Capital Markets, LLC, based in Edina, Minnesota. He has been in the industry since 1998, with experience at Morgan Stanley and Morgan Stanley & Co. Incorporated. Thomas Swan is licensed in numerous states and specializes in providing financial advice for individuals, businesses, and employee benefit plans. Thomas Swan and the firm offer a range of advisory services, including financial planning, portfolio management, and selection of other advisers.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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
MN
01/04/2018 - Present
RBC Capital Markets, LLC (EDINA MN)
MN
06/01/2009 - 12/02/2013
MORGAN STANLEY (BLOOMINGTON MN)
MN
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BLOOMINGTON MN)
MN
07/21/1998 - 04/02/2007
MORGAN STANLEY DW INC. (BLOOMINGTON MN)
IA
Issued 08/14/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/27/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/29/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 07/20/1998
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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