top of page

Our Services

Start the conversation

Most of our work begins with a conversation.

​​

If you're navigating a concentrated stock position, evaluating a major financial decision, or simply looking for thoughtful guidance, you're welcome to reach out.  

​​

The first discussion is an opportunity to understand and determine whether working together makes sense.

Address

1270 Avenue Of The Americas, Suite 1000, New York, NY 10020-1710

Email

Kathryn.Swain@prudential.com

Phone

(212) 817-3891

© 2026 Kathryn Swain. 

Kathryn Swain is a Financial Advisor with, and securities and investment advisory services offered through LPL Enterprise (LPLE), a Registered Investment Advisor, Member FINRA/SIPC, and an affiliate of LPL Financial.

"Prudential Advisors" is a brand name for the proprietary retail sales channel of The Prudential Insurance Company of America ("PICA") and its insurance company and other affiliates (collectively "Prudential"). Prudential Advisors financial professionals are licensed insurance agents of Prudential. Pursuant to a strategic relationship among Prudential, LPLE, and LPL Financial, Prudential Advisors financial professionals provide securities brokerage services and/or investment advice on securities solely as registered persons of LPLE, an affiliate of LPL Financial. These financial professionals are permitted to brand under "Prudential Advisors." LPLE and LPL Financial are not affiliated with Prudential.

The LPL Enterprise registered representative(s) associated with this website may discuss and/or transact business only with residents of the states in which they are properly registered or licensed. No offers may be made or accepted from any resident of any other state.

Form CRS

FINRA's BrokerCheck

LPL Enterprise Form ADV Part 2A Brochure

bottom of page