Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Travis? Claim Your ProfileTravis Wayne Swafford is a financial advisor with Wells Fargo Clearing Services, LLC. Travis is a Registered Representative (RR) in Missouri. Travis has over 20 years of experience in the securities industry. Prior to joining Wells Fargo Clearing Services, LLC, Travis worked at A. G. EDWARDS & SONS, INC.. Travis has a Series 63, 66, 7, 9, 10 and SIE license. Travis also holds a FINRA Series 66 license. Travis specializes in providing financial planning, portfolio management for individuals and businesses, investment consulting services to institutional clients and pension consulting.
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.
1
2
MO
08/22/2014 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
MO
07/31/2000 - 01/03/2008
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
BOTH
Issued 08/21/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/15/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/30/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/31/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/28/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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