Eric S. Swartz
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.
Eric Stephan Swartz was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1983. Eric had worked at 11 firms and has passed the Series 63, SIE, Series 82, Series 79, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 2018 - October 24, 2023
COMMENDA SECURITIES, LLC
November 25, 2015 - December 31, 2016
HB SECURITIES, LLC
February 19, 2013 - December 9, 2013
ROSWELL CAPITAL SECURITIES, LLC
April 24, 2002 - June 2, 2004
EQUIPLACE SECURITIES LLC
April 8, 1994 - April 11, 2002
DUNWOODY BROKERAGE SERVICES, INC.
June 22, 1993 - March 16, 1994
AMERICAN WEALTH MANAGEMENT, INC.
January 20, 1989 - June 9, 1993
J.P. MORGAN SECURITIES LLC
April 28, 1988 - January 5, 1989
MARSHALL & CO. SECURITIES, INC.
May 8, 1986 - April 29, 1988
CIBC WORLD MARKETS CORP.
April 18, 1985 - April 23, 1986
J.P. MORGAN SECURITIES LLC
February 24, 1984 - April 25, 1985
THE ROBINSON-HUMPHREY COMPANY, LLC
March 23, 1983 - December 27, 1983
HERETH, ORR & JONES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COMMENDA SECURITIES, LLC
CRD#: 164664 / SEC#: , 8-69111
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMENDA INC. | MEMBER FIRM | |
| SHEEHAN, TIMOTHY JAMES | MANAGING DIRECTOR AND PRINCIPAL, CEO, CCO | 2546510 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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