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MS

Michael E. Swan

Some features on this profile are disabled
CRD#: 1160034
MS

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.

Michael E Swan, who also goes by Michael Edwards, Michael E. Swan, Michael Edward Swan, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 24 and Series 39 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Edwards | Michael E. Swan | Michael Edward Swan

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

November 7, 2018 - October 24, 2019

GREAT PACIFIC SECURITIES

BD
CRD#: 29251
COSTA MESA, CA
Past

July 1, 2013 - November 2, 2018

MUTUAL ADVISORS, LLC

RIA
CRD#: 167658
SAN DIEGO, CA
Past

January 30, 2008 - July 9, 2013

MUTUAL SECURITIES, INC.

RIA
CRD#: 13092
SAN DIEGO, CA
Past

January 30, 2008 - November 2, 2018

MUTUAL SECURITIES, INC.

BD
CRD#: 13092
SAN DIEGO, CA
Past

September 7, 2005 - February 8, 2008

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
MISSION VIEJO, CA
Past

September 7, 2005 - February 8, 2008

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
MISSION VIEJO, CA
Past

September 17, 2002 - September 12, 2005

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
LAGUNA NIGUEL, CA
Past

August 22, 2001 - December 9, 2005

SWAN & HERRING, LLC

RIA
CRD#: 113540
LAGUNA NIGUEL, CA
Past

September 14, 1999 - September 12, 2005

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

August 22, 1997 - November 3, 1999

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

December 24, 1992 - August 7, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

April 10, 1986 - January 25, 1993

LIBERTY CAPITAL MARKETS, INC.

BD
CRD#: 16534
Past

August 9, 1984 - October 1, 1985

LIBERTY EQUITIES, INC.

BD
CRD#: 14976
Past

July 29, 1983 - October 26, 1984

CRESCENT SECURITIES CORPORATION

BD
CRD#: 13263

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
IAR
Series 65
Date: 12/21/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/1/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/21/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 7/28/1983
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/28/2000
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 39
Date: 4/11/1984
Direct Participation Programs Principal Examination

Current Firm

GP
GREAT PACIFIC SECURITIES
GREAT PACIFIC FIXED INCOME SECURITIES, INC. | GREAT PACIFIC SECURITIES

CRD#: 29251 / SEC#: , 8-44398

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

Main Address
151 Kalmus Drive, Building H8, Costa Mesa, CA 92626
Mailing Address
151 Kalmus Drive, Building H8, Costa Mesa, CA 92626
Phone number
(714) 619-3000
Established
California since 09/01/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
VINCK, CHRISTOPHER VINCENTPRINCIPAL OPERATING OFFICER2447335
VINCK, CHRISTOPHER VINCENTTRADING2447335
VINCK, CHRISTOPHER VINCENTCEO2447335
VINCK, CHRISTOPHER VINCENTCCO2447335
MORRISSEY, TERENCE LANDRYPRINCIPAL FINANCIAL OFFICER, FINOP, AND CFO5964634

Disclosures

Regulatory Event2

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

GREAT PACIFIC SECURITIES

CRD#: 29251

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