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Daniel Joshua Swain
DANIEL JOSHUA SWAIN, Daniel Swain
CRD#: 6435254
IA
Investment Adviser
B
Broker
CARTER ADVISORY SERVICES, INCCRD#: 116249 12222 MERIT DRIVE
SUITE 1800
DALLAS, TX 75251
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 12222 MERIT DRIVE
SUITE 1800
DALLAS, TX 75251
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2015 - 2016 (1 year)2 FIRMS2016 - 2023 (7 years)2 FIRMS2023 - Present (1 year)IACARTER ADVISORY SERVICES, INC (CRD# 116249)2024 - Present (<1 year)
License(s)

State Registrations

B
Texas 8/21/2023

IA
Texas 8/21/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CARTER ADVISORY SERVICES, INC (CRD#:116249)
12222 MERIT DRIVE SUITE 1800, DALLAS, TX 75251
Registered with this firm since 5/17/2024

B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
12222 MERIT DRIVE SUITE 1800, DALLAS, TX 75251
Dallas, TX
Registered with this firm since 8/21/2023

IA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018)
12222 Merit Drive Suite 1800, Dallas, TX 75251
Dallas, TX
Registered with this firm since 8/21/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/20/2016 - 08/02/2023 FOUNDERS FINANCIAL SECURITIES, LLC (CRD#:137945) FREDERICK, MD
B
07/20/2016 - 08/02/2023 FOUNDERS FINANCIAL SECURITIES LLC (CRD#:137945) FREDERICK, MD
IA
03/16/2015 - 02/10/2016 EDWARD JONES (CRD#:250) RICHMOND, VA
B
02/25/2015 - 02/10/2016 EDWARD JONES (CRD#:250) RICHMOND, VA
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.