Guy
Swain

Commonwealth Financial Network

CRD#1468842
Investment Advisor
in Raleigh, NC
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About this Advisor

Guy Swain is a certified financial planner and chartered financial consultant who works in Raleigh, North Carolina, with a total of 23 years of experience as a financial advisor. Swain is currently employed by Commonwealth Financial Network. They have been an employee of Commonwealth Financial Network for the entirety of their career. Swain holds Series 63 and Series 65 licenses, certifying them as both a securities agent and an investment advisor representative, and is able to operate in North Carolina. Commonwealth Financial Network is a financial advisory business based in Raleigh, North Carolina. It has offices in 1,090 locations and a total of 3,200 people on staff. It controls $81 billion in assets between its 335,560 accounts, placing it among the biggest investment advisory firms in the United States by assets under management. The firm serves 223 charities and foundations. Of its 335,560 client accounts, just 3% belong to high-net-worth clients who have greater than $1 million in assets available to invest. The firm performs a diverse range of services, including financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, publication of newsletters and educational seminars. Financial advisory fee schedules usually depend on which services the firm provides the client. Fees charged by Commonwealth Financial Network likely consist of asset-based, hourly, fixed and commission-based fees.

Certifications and Registrations

Series 63, Series 65, Certified Financial Planner, Chartered Financial Consultant

Years of Experience

23 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions

Disclosures

No

Office Location

4700 Homewood Court Suite 340
Raleigh, NC 27609

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Commonwealth Financial Network Brokerage Details

Total Assets Under Management

$80,973,209,717

NC Average: $16,012,751,954
Total Number of Employees

3,200

NC Average: 118
Total Number of Accounts

335,560

NC Average: 4,567
Average Account Size

$241,308

NC Average: $3,506,186

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Publication of periodicals or newsletters
  • Educational seminars/workshops

Guy Swain Work History

Guy has 23 years of experience.

1995 - Present (24 years)

Commonwealth Equity Services, Inc

Disclosures

Guy Swain has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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