Marc G. Swensen
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.
Marc Gruntwagin Swensen, who also goes by Marc Gruntwagin, Marc Stuart Swensen, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1982. Marc had worked at 9 firms and has passed the Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 1997 - March 27, 1998
FIRST LIBERTY INVESTMENT GROUP, INC.
June 22, 1994 - April 18, 1997
MEYERS POLLOCK ROBBINS, INC.
August 18, 1993 - March 15, 1994
BURNETT, GREY & CO., INC.
March 14, 1990 - September 1, 1993
FLAGSHIP SECURITIES, INC.
January 6, 1988 - March 10, 1989
INVESTORS CENTER, INC.
October 29, 1987 - December 10, 1987
GSG GLOBAL SECURITIES GROUP INC.
June 4, 1984 - January 2, 1985
WOLFE & HURST SECURITIES INC.
February 22, 1983 - January 19, 1993
TITUS & DONNELLY LLC
July 22, 1982 - October 25, 1983
DRAYER KELLY & CO. 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
Current Firm
FIRST LIBERTY INVESTMENT GROUP, INC.
CRD#: 3536 / SEC#: , 8-6824
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST COMMONWEALTH INV. GRP | OWNER | |
| EMINENTE, CHRISTIAN LUCIANO | EXEC. VP | 2109308 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 10 |
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.
