Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Trudy? Claim Your ProfileTrudy Swartz is a financial advisor with over 30 years of experience in the financial services industry. Trudy is currently registered with Wells Fargo Clearing Services, LLC and has held previous roles with Wells Fargo Investments, LLC, U.S. Bancorp Investments, Inc. and U.S. Bancorp Securities. Trudy holds a number of professional licenses and designations, including Series 7, Series 10, Series 24, Series 63 and SIE. Trudy is also a registered representative in Washington.
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
OR
01/03/2011 - Present
Wells Fargo Clearing Services, LLC (PORTLAND OR)
WA
01/26/2004 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (VANCOUVER WA)
MN
09/03/1997 - 10/24/2003
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
OR
02/18/1992 - 09/03/1997
U.S. BANCORP SECURITIES (PORTLAND OR)
BC
Issued 02/20/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/10/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/25/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/31/1995
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/14/1992
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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