Frederick M. Swaim
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.
Frederick Michael Swaim, who also goes by F Michael Swaim, Michael F Swaim, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1982. Frederick had worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7, Series 5, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2014 - September 10, 2015
COUNTRY CAPITAL MANAGEMENT COMPANY
December 17, 2008 - September 17, 2009
NEW ENGLAND SECURITIES
December 13, 2008 - September 17, 2009
NEW ENGLAND SECURITIES
August 12, 2003 - January 29, 2008
WADDELL & REED
July 14, 2003 - January 29, 2008
WADDELL & REED
December 11, 2000 - July 15, 2002
NELSONREID, INC.
September 13, 1994 - December 20, 2000
JOSEPHTHAL & CO., INC.
January 13, 1994 - July 20, 1994
DICKINSON & CO.
November 4, 1991 - June 2, 1992
CULLUM & SANDOW SECURITIES, INC.
March 16, 1988 - February 8, 1989
COZAD INVESTMENT SERVICES, INC.
January 29, 1987 - January 12, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 19, 1985 - December 8, 1986
CROWELL, WEEDON & CO.
November 2, 1984 - May 20, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 27, 1983 - September 24, 1984
PRUDENTIAL EQUITY GROUP, LLC
March 2, 1982 - December 20, 1983
MORGAN STANLEY DW INC.
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: 12/11/1982
Interest Rate Options ExaminationSeries 8
Date: 10/27/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
COUNTRY CAPITAL MANAGEMENT COMPANY
CRD#: 12060 / SEC#: , 8-12645
Contact information
FINRA licenses (31 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COUNTRY LIFE INSURANCE COMPANY | SHAREHOLDER | |
| BULL, DAVID B | PRINCIPAL OPERATIONS OFFICER | 5287948 |
| DARMSTAEDTER, GEOFFREY FREDERICK | CHIEF COMPLIANCE OFFICER & ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 5709185 |
| DODDS, ALAN KEITH | VICE PRESIDENT - FINANCE & TREASURER | 5660784 |
| DUNCAN, BRIAN KEITH | CHAIRMAN OF THE BOARD & DIRECTOR | 6904912 |
| ELLERMAN, DOUGLAS JOSEPH | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 6096851 |
| FLETCHER, JEREMIAH DEAN | CHIEF INFORMATION SECURITY OFFICER | 6970583 |
| FRERICHS, TROY MITCHELL | CEO, EXECUTIVE REPRESENTATIVE | 4133454 |
| GREEN, DENNIS WAYNE | DIRECTOR | 6904908 |
| HARRIS, TIMOTHY JOHN | EXECUTIVE VICE PRESIDENT OF AGENCY | 3155020 |
| MEISS, DAVID LEE | DIRECTOR | 6904884 |
| SCHUTZ, CHAD KENNETH | DIRECTOR | 6904905 |
| VANCE, JENNIFER LYNN | GENERAL COUNSEL, SECRETARY & CHIEF LEGAL OFFICER | 7040592 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
