Guy Seldon Swain

Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/1995 → Present
  Commonwealth Equity Services, Inc.
  Raleigh, NC

Other Businesses

1. Co-owner, Lifetime Asset Management LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 4/26/2013; 100% of time spent during business hours; Conducted at branch; Investment related. 2. Fixed insurance sales, as an Agent, under the name 'Life Time Asset Management, LLC'; Conducted at branch location; Investment related. 3. Co-owner, LifeTime Tax Management; a private entity created to facilitate tax business; Located at 51 Kilmayne Dr. Suite 201, Cary, NC 27511; as of 9/16/2020; 2% of time spent during business hours; Not conducted at branch location; Not investment related.

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-05-26
• S63 Uniform Securities Agent State Law Examination
  1986-02-21

Designations

• Certified Financial Planner
• Chartered Financial Consultant

Other Names

• Guy Seldon Swan