Patrick Joseph Swan

Current Employers

Employment History

• 01/2010 → 09/2017
  Wells Fargo Funds Distributor, Llc
  San Francisco, CA
• 01/2010 → 09/2017
  Wells Fargo Funds Management, Llc
  San Francisco, CA
• 10/2017 → 01/2020
  Nationwide Investment Services
  Columbus, OH
• 08/2020 → Present
  Raymond James Financial Services, Inc.
  Elizabethtown, OH
• 08/2020 → Present
  Raymond James Financial Services Advisors, Inc.
  Elizabethtown, OH
• 12/2019 → Present
  First Financial Bank Dba Yellow Cardinal Private Client
  Elizabethtown, KY

Previous Registrations

• 2017-11-09 → 2020-01-07
  Nationwide Investment Advisors, Llc
  Columbus, OH
• 2010-01-04 → 2017-10-12
  Allspring Funds Management, Llc
  San Francisco, CA
• 2009-11-12 → 2010-01-04
  Evergreen Investment Management Co
  Boston, MA

Other Businesses

(1) Name of Business: First Financial Bank DBA Yellow Cardinal Private Client Address: 2900 Dolphin Dr Ste 300, Elizabethtown, KY, 42701, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 12/29/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Private Banker - banking and lending for clients (2) Name of Business: Home of the Innocents Address: 1100 E Market St, Louisville, KY, 40206, United States Activity Type: Non profit Position/Title: Committee Member Investment Related: Yes Start Date: 08/25/2022 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Volunteer and be part of the Finance and New Business Committees. Meet monthly to discuss the HOI's budget and opportunities within the community. (3) Name of Business: Yellow Cardinal Advisory Group Address: 2900 Dolphin Dr Ste 300, Elizabethtown, KY, 42701, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 12/29/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Private Banker - support clients on banking and lending needs

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-11-05
• S63 Uniform Securities Agent State Law Examination
  2000-04-25

Other Names

• Pat Swan