Eric Stephan Swartz
Professional Summary
Eric Stephan Swartz was a registered financial advisor. Eric was a previously registered financial professional and started their career in finance 1983 - 2023. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
COMMENDA SECURITIES, LLC
Contact Information
Established
Georgia since 05/12/2012Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMENDA INC. | MEMBER FIRM | — |
| SHEEHAN, TIMOTHY JAMES | MANAGING DIRECTOR AND PRINCIPAL, CEO, CCO | 2546510 |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82 — Limited Representative-Private Securities Offerings
Passed Jan 2016About the Series 82 examSeries 79 — Investment Banking Registered Representative Examination
Passed Feb 2013About the Series 79 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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