Richard L. Swomley
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.
Richard Lynn Swomley, who also goes by Dick Swomley, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 5 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2014 - May 8, 2015
WM SMITH & CO.
October 1, 2010 - June 28, 2012
WINSTON ADVISORS, LLC
January 24, 2008 - January 2, 2009
MORGAN JOSEPH TRIARTISAN LLC
April 1, 2005 - October 31, 2007
WINSTON ADVISORS, LLC
March 27, 2000 - January 23, 2004
WINSTON ADVISORS, LLC
November 15, 1996 - June 30, 1998
WESTPORT FINANCIAL SERVICES, L.L.C.
July 22, 1982 - March 9, 1995
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Exams
Current Firm
WM SMITH & CO.
CRD#: 30777 / SEC#: , 8-45163
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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