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Jimmy D. Swink

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CRD#: 1075296
JS

Professional summary

Jimmy Dale Swink JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jimmy is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Jimmy had worked at 2 firms, which includes FIRST AMERICAN SECURITIES INC., SWINK & COMPANY INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jimmy Dale Jr Swink

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 1, 1990 - January 14, 1993

FIRST AMERICAN SECURITIES, INC.

BD
CRD#: 18430
Past

January 18, 1984 - January 12, 1990

SWINK & COMPANY, INC.

BD
CRD#: 7111

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/6/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52
Date: 1/28/1998
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 10/17/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/8/1990
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/16/1987
General Securities Principal Examination

Current Firm

FA
FIRST AMERICAN SECURITIES, INC.
FIRST AMERICAN SECURITIES, INC. | HITE FINANCIAL GROUP, INC.

CRD#: 18430 / SEC#: , 8-36676

BD
Terminated by SEC on 10/05/1993
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 09/02/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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.

Company Information

FIRST AMERICAN SECURITIES, INC.

CRD#: 18430

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