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 in the industry. William has been associated with Raymond James Financial Services Advisors, Inc. since 2005. Prior to that, William worked for Morgan Stanley DW Inc., Salomon Smith Barney Inc., and Lehman Brothers Inc. William has a wide range of experience and expertise, including financial planning, portfolio management for individuals and businesses, and pension consulting. William is also registered as an Investment Advisor Representative in Colorado and has a Series 7, Series 5, Series 15, Series 63, and Series 65 licenses.
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 09/16/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/1983
Series 15 - Foreign Currency Options Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 08/18/1979
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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