Joseph SwainCRD Number: 5962845
Current Firm: Charles Schwab & Company, Inc.
Joseph Swain (CRD# 5962845) is an Investment Advisor Representative working at Charles Schwab & Company, Inc. in Las Vegas, NV and has over 6 years of experience in the finance industry.
Kingsbridge Wealth Management, Inc.
The Investment Counsel Company
Hornor, Townsend & Kent, Inc.
|Charles Schwab & Company, Inc.||Las Vegas, NV||Jun 2014 - Current||3|
|Charles Schwab Bank||Las Vegas, NV||Jun 2014 - Current||3|
|Wells Fargo Bank Na||Las Vegas, NV||Apr 2013 - Jun 2014||1|
|Wells Fargo Advisors LLC||Las Vegas, NV||Apr 2013 - Jun 2014||1|
|Unemployed||Las Vegas, NV||Dec 2012 - Mar 2013||< 1|
|Ameriprise Financial Services,inc||Las Vegas, NV||Aug 2012 - Nov 2012||< 1|
|Metlife Securities Inc.||Las Vegas, NV||Aug 2011 - Aug 2012||1|
|Unemployed||Las Vegas, NV||Apr 2011 - Aug 2011||< 1|
|Ibew / Jatc||Las Vegas, NV||Oct 2007 - Apr 2011||3|
|Unemployed||Las Vegas, NV||Oct 2006 - Oct 2007||1|
|Ryder Electric||Nantucket, MA||Jan 2005 - Oct 2006||1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 2012|
|S66||NASAA Uniform Combined State Law Examination||Aug 2014|
Total Assets Under Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Selection of other advisers (including private fund managers)
AK, AL, AR, 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
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