John F. Swilley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Floyd Swilley was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1981. John had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 5 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2011 - May 24, 2012
J FLOYD SWILLEY, INVESTMENT ADVISORS
October 8, 2008 - December 31, 2010
J FLOYD SWILLEY, INVESTMENT ADVISORS
September 19, 1996 - October 29, 1997
CAPTRUST SECURITIES CORPORATION
March 31, 1995 - June 10, 1996
AMERIPROP, INC.
January 24, 1991 - January 16, 1995
BUCKHEAD FINANCIAL CORPORATION
January 21, 1986 - January 7, 1991
RAYMOND JAMES & ASSOCIATES, INC.
August 22, 1984 - March 4, 1986
CITIGROUP GLOBAL MARKETS INC.
December 24, 1981 - July 27, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 1/26/1982
Interest Rate Options ExaminationCurrent Firm
J FLOYD SWILLEY, INVESTMENT ADVISORS
CRD#: 146388 / SEC#:
Contact information
Red Flags
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