Swan ShenCRD Number: 3036612
Current Firm: Sagepoint Financial, Inc.
Swan Shen (CRD# 3036612) is an Investment Advisor Representative working at Sagepoint Financial, Inc. in Burlington, MA and has over 21 years of experience in the finance industry. Swan Shen has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Advanced Portfolio Design, LLC
Commonwealth Financial Network
|Sagepoint Financial, Inc.||Burlington, MA||Jul 2019 - Current||< 1|
|Holistic Financial & Retirement Group||Burlington, MA||Mar 2014 - Current||6|
|Capital Financial Services, Inc.||Minot, ND||Sep 2014 - Jul 2019||4|
|Cantella & Company, Inc.||Boston, MA||Feb 2014 - Mar 2014||< 1|
|Capital Financial Services, Inc.||Minot, ND||Nov 2013 - Dec 2013||< 1|
|Cuna Brokerage Services, Inc.||Wallingford, CT||Apr 2001 - Aug 2013||12|
|Cuna Mutual Group||Waverly, IA||Mar 2001 - Aug 2013||12|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jun 1998|
|S66||NASAA Uniform Combined State Law Examination||Apr 2004|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Employer Dispute
- Customer Dispute
- Regulatory Event
Total Assets Under Management7,988MILLIONS
Total Number of Accounts42,989ACCOUNTS
Average Account Value$185,820
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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