Joseph Swain, financial advisor Las Vegas NV
90 score

Joseph Swain

CRD 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 4 years of experience in the finance industry.

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Company Name Location Dates Years
Charles Schwab & Company, Inc. Las Vegas, NV Jun 2014 - Current 2
Charles Schwab Bank Las Vegas, NV Jun 2014 - Current 2
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
Contact Info for Joseph M. Swain
Phone Number: 415-667-7000
Firm Website: https://www.schwab.com
Registered State(s):
  • NV
  • NM
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

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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BADGES
90
Clean Record
This advisor has a clean track record with regulators.

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