Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Eldredge Swanson is a financial advisor with over 40 years of experience. William is currently registered with RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. and has been with the firm since 2009. Prior to that, William was registered with MORGAN STANLEY DW INC. and SALOMON SMITH BARNEY INC. William is licensed in 16 states. William holds multiple industry licenses including Series 7, 15, 63, and 65. William is also licensed to provide investment advice. William's current office is located in Aspen, Colorado, where he has been working since 2005. In addition to his financial advisory work, William also owns and operates a rental real estate business in Marble, Colorado.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
CO
01/02/2009 - Present
Raymond James Financial Services Advisors, Inc. (Aspen CO)
NY
11/07/2001 - 08/24/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
07/31/1993 - 11/16/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
08/27/1979 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 9/16/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/1/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/25/1983
Series 15 - Foreign Currency Options Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 8/18/1979
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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