DS
CFP
DS
CFP

Daniel Joshua Swain

10 Years of Experience
Broker
Areas of Practice
Retirement PlanningTax PlanningEstate PlanningEducation PlanningFinancial Planning & CoachingInsurance Planning
Compensation
Fixed/Hourly
Firm Size
11 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified

Fee Structure

Initial financial plans start at $5,000, but the fee is negotiable. Hourly fees for specialized analysis range from $100 to $450.

One-Time Plan:From $5,000
Hourly Rate:$100 - $450/hr
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Location

12222 Merit Drive, Suite 1800, Dallas, TX, 75251

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History

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.

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Other Business Activities

Daniel owns rental real estate property in Virginia, dedicating minimal time to it. He also has a role at Carter Financial Management with no responsibilities associated with it.

Employment History
Current Registrations
Carter Advisory Services, INC
May 2024 - Present · 1 yr 9 mos
Raymond James Financial Services, INC.Broker
August 2023 - Present · 2 yrs 6 mos
Raymond James Financial Services Advisors, INC
August 2023 - Present · 2 yrs 6 mos
Raymond James Financial Services, INC.
August 2023 - Present · 2 yrs 6 mos
Previous Registrations
Founders Financial Securities, LLC
July 2016 - August 2023 · 7 yrs 1 mo
Founders Financial Securities LLCBroker
July 2016 - August 2023 · 7 yrs 1 mo
Edward Jones
March 2015 - February 2016 · 11 mos
Edward JonesBroker
February 2015 - February 2016 · 1 yr
State Registrations1 state
TX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.