James Mcswain is a registered investment advisor, based in Chico, CA, with 31 years of industry experience.
Location
3251 Esplanade, Chico, CA, 95973
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
James is an owner and independent contractor for McSwain, dedicating minimal time to this support company. This activity is not investment-related.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
December 2023 - Present · 2 yrs 5 mos
Raymond James Financial Services, INC.Broker
December 2023 - Present · 2 yrs 5 mos
Previous Registrations
Cetera Investment Advisers LLC
June 2023 - December 2023 · 6 mos
Cetera Advisor Networks LLC
August 2005 - June 2023 · 17 yrs 10 mos
Cetera Advisor Networks LLCBroker
July 2005 - December 2023 · 18 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 1998 - June 2005 · 7 yrs
Liberty Securities CorporationBroker
May 1995 - May 1998 · 3 yrs
Robert Van Securities, INC.Broker
July 1994 - February 1995 · 7 mos
State Registrations38 states
AKARAZCACOCTFLGAHIIAIDILINKSKYMDMIMNMOMTNCNJNMNVNYOHOKORPARISCTNTXUTVAWAWIWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.