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BS

Becky A. Swanston

CAPLINK SECURITIES,
MANHATTAN BEACH, CA 90266
Some features on this profile are disabled
CRD#: 1107253
BS

Professional summary

Becky Anne Swanston, who also goes by Becky Anne Swanston, is a registered financial professional currently at CAPLINK SECURITIES, INC located in Manhattan Beach, California.

Becky is registered as a RR (Registered Representative) and started their career in finance in 1983. Becky has worked at 13 firms and has passed the Series 63, Series 79TO, Series 72, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Becky Anne Swanston

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) - BD

Click below to view Becky Anne Swanston's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

February 23, 2023 - Present

CAPLINK SECURITIES, INC

Office #1: 1230 Rosecrans Avenue Suite 300, Manhattan Beach, CA 90266
BD
CRD#: 130702
MANHATTAN BEACH, CA
Past

June 22, 2022 - September 8, 2022

RISE FINANCIAL SERVICES, LLC

BD
CRD#: 146103
MIAMI BEACH, FL
Past

June 22, 2022 - December 15, 2022

TIGRESS FINANCIAL PARTNERS, LLC

BD
CRD#: 154717
NEW YORK, NY
Past

March 20, 2015 - April 28, 2022

PICKWICK CAPITAL PARTNERS, LLC

BD
CRD#: 130672
WHITE PLAINS, NY
Past

January 11, 2007 - September 13, 2013

STONEHAVEN, LLC

BD
CRD#: 118913
NEW YORK, NY
Past

February 9, 2005 - December 31, 2006

EQUUS FINANCIAL CONSULTING LLC

BD
CRD#: 131449
WESTPORT, CT
Past

April 2, 2004 - April 8, 2005

PLANET WEALTH SECURITIES, INC.

BD
CRD#: 119251
BENTONVILLE, AR
Past

July 30, 1999 - August 14, 2002

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

March 24, 1997 - February 26, 1998

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

November 28, 1995 - September 17, 1996

DINNER KEY ADVISORS INCORPORATED

BD
CRD#: 30069
Past

April 4, 1989 - July 18, 1994

LEHMAN SPECIAL SECURITIES INC.

BD
CRD#: 7242
Past

July 25, 1987 - August 17, 1994

LEHMAN GOVERNMENT SECURITIES INC.

BD
CRD#: 19655
Past

October 29, 1985 - July 18, 1995

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

July 15, 1983 - January 26, 1984

MERRILL LYNCH REALTY SECURITIES CORPORATION

BD
CRD#: 10889

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(2/24/2023)
RR
Florida
(2/24/2023)
RR
Georgia
(2/27/2023)
RR
Illinois
(3/1/2023)
RR
Massachusetts
(2/23/2023)
RR
New York
(11/20/2023)
RR
North Carolina
(2/24/2023)
RR
Ohio
(2/23/2023)
RR
Tennessee
(8/1/2024)
RR
Texas
(2/23/2023)
RR
Virginia
(2/27/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/30/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 3/7/1988
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/1983
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CAPLINK SECURITIES, INC
CAPLINK SECURITIES, INC | CENTARA CAPITAL SECURITIES, INC.

CRD#: 130702 / SEC#: , 8-66379

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
1230 Rosecrans Avenue Suite 300, Manhattan Beach, CA 90266
Mailing Address
1230 Rosecrans Avenue Suite 300, Manhattan Beach, CA 90266
Phone number
(310) 952-0987
Established
California since 04/21/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MIBU, SCOTT JIROPRESIDENT, CCO2272272
OSHIRO, MICHAEL HENRYCEO2271174
BARRETT, THOMAS JOSEPHFINOP2821759

Disclosures

Regulatory Event1

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

CAPLINK SECURITIES, INC

CRD#: 130702Manhattan Beach, CA 90266

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