John F. Dolan
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 Frederick Dolan, who also goes by John Fredrick Dolan, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2015 - October 4, 2019
SWAN GLOBAL INVESTMENTS, LLC
July 24, 2015 - September 30, 2019
NORTHERN LIGHTS DISTRIBUTORS, LLC
January 6, 2012 - March 13, 2014
LOCORR DISTRIBUTORS, LLC
August 13, 2009 - October 28, 2011
EATON VANCE MANAGEMENT
March 20, 2000 - October 28, 2011
EATON VANCE DISTRIBUTORS, INC.
March 18, 1996 - March 1, 2000
ALLIANCEBERNSTEIN INVESTMENTS, INC.
July 5, 1995 - February 15, 1996
ADP BROKER-DEALER, INC.
September 26, 1994 - April 27, 1995
COMPASS SECURITIES CORPORATION
October 8, 1991 - November 18, 1992
ROBERT W. BAIRD & CO. INCORPORATED
July 9, 1991 - March 10, 1993
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 30, 1987 - May 7, 1991
BARISTON SECURITIES, INC.
October 20, 1986 - January 14, 1987
CONGRESS SECURITIES COMPANY
February 11, 1985 - October 29, 1986
LANGELIER SECURITIES, INC.
December 21, 1982 - September 12, 1984
WINTHROP SECURITIES CO., INC.
Primary Firm SEC Registration
SWAN GLOBAL INVESTMENTS, LLC
CRD#: 114669 / SEC#: 801-70881
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
SWAN GLOBAL INVESTMENTS, LLC
CRD#: 114669 / SEC#: 801-70881
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,969 |
| AUM (Assets Under Management) | $ 2,406,792,590 |
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.
