Douglas L. Swenson
Professional summary
Douglas Leon Swenson was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Douglas is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Douglas had worked at 2 firms, which includes WEST RIDGE SECURITIES LLC, DBSI SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2006 - March 31, 2009
WEST RIDGE SECURITIES LLC
September 8, 1983 - May 27, 2005
DBSI SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 62
Date: 11/22/2004
Corporate Securities Limited Representative ExaminationCurrent Firm
WEST RIDGE SECURITIES LLC
CRD#: 137795 / SEC#: , 8-67119
Contact information
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.
