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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Brian Swan is a financial advisor who has been in the industry since 1988. Swan is currently registered with Western International Securities, Inc. and has been with the firm since 2008. Swan has held several prior roles at other firms, including Financial West Group, WM Financial Services, Inc., and Sentra Securities Corporation. Swan is licensed in both Arizona and California and has a variety of licenses and certifications, including Series 7, Series 6, Series 63, Series 66, and Series 26. Swan specializes in providing financial planning, pension consulting, and portfolio management for individuals and businesses.
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
CA
10/14/2014 - Present
Western International Securities, Inc. (Westlake Village CA)
CA
03/05/2003 - 06/20/2008
FINANCIAL WEST GROUP (VENTURA CA)
CA
05/01/1998 - 01/17/2003
WM FINANCIAL SERVICES, INC. (IRVINE CA)
CA
02/17/1998 - 05/01/1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
AZ
04/24/1995 - 12/16/1997
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
GA
06/02/1994 - 04/11/1995
IFG NETWORK SECURITIES, INC. (ATLANTA GA)
AZ
04/06/1994 - 05/10/1994
SENTRA SECURITIES CORPORATION (PHOENIX AZ)
GA
01/07/1993 - 12/31/1993
IFG NETWORK SECURITIES, INC. (ATLANTA GA)
GA
02/05/1992 - 12/31/1992
PLANNED INVESTMENTS INC. (ATLANTA GA)
GA
09/28/1987 - 08/19/1991
FIRST AMERICAN NATIONAL SECURITIES, INC. (DULUTH GA)
BOTH
Issued 10/13/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/15/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/10/1993
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/03/1996
Series 7 - General Securities Representative Examination
BC
Issued 07/16/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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