I provide personal financial guidance for individuals and families who value clarity, discretion, and long-term adaptability through life’s transitions. My work is designed for those who want structure, perspective, and confidence in their decisions, without noise or unnecessary complexity.

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I bring more than 30 years of experience across financial markets, wealth management, and advisory leadership. My background includes roles in trading, portfolio management at major financial institutions like Charles Schwab, Merrill Lynch, Federated Hermes, and Goldman Sachs. I have also served as a Registered Investment Advisor Representative, working directly with clients to navigate complex financial decisions across market cycles.

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My approach integrates wealth planning, investment strategy, risk management, and insurance.  Always grounded in education, thoughtful analysis, and a long-term view. I focus on building plans that are meant to evolve, recognizing that financial decisions rarely exist in isolation from life events, career changes, or family priorities.

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Beyond advisory work, I have hosted a financial radio program on Power 98.5 Satellite Radio, where I discussed markets, planning concepts, and the practical realities investors face. I am a former collegiate track athlete, experiences that shaped my discipline, resilience, and respect for long-term preparation.

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I am based in New York City, which I call home, and I work with clients who value a calm, collaborative process and a plan designed to adapt as life changes. I am also the parent of a son, Sebastien, an experience that continues to inform how I think about responsibility, legacy, and long-term decision-making.

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Kathryn Swain is a Financial Professional with Prudential Advisors. Insurance products are issued by The Prudential Insurance Company of America and its affiliates. Securities and investment advisory services are offered through LPL Enterprise, LLC (LPLE), a Registered Investment Advisor, Member FINRA/SIPC, and an affiliate of LPL Financial. LPL Enterprise and LPL Financial are not affiliated with Prudential.