John D. Swarthout
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.
John Dixon Swarthout was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 8 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2008 - October 2, 2014
FORESIDE ASSOCIATES, LLC
August 23, 2001 - August 24, 2005
HEARTLAND INVESTOR SERVICES, LLC
February 9, 2001 - August 23, 2001
EVERGREEN DISTRIBUTOR, INC.
January 19, 2000 - July 23, 2008
FORESIDE DISTRIBUTION SERVICES, L.P.
May 9, 1996 - August 18, 1998
ARM SECURITIES CORPORATION
July 19, 1990 - January 2, 1996
GEM ADVISORS, INC.
August 4, 1986 - June 11, 1996
INTEGRITY LIFE INSURANCE COMPANY
January 30, 1984 - June 15, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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
Current Firm
FORESIDE ASSOCIATES, LLC
CRD#: 13494 / SEC#: , 8-43169
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| BERTHY, RICHARD JOHN MR. | PRESIDENT/TREASURER/MANAGER/DIR | 1341368 |
| CHERN, NANETTE KING | CHIEF COMPLIANCE OFFICER/VP | 1718029 |
| DIVALERIO, JENNIFER KAY | VICE PRESIDENT | 3236826 |
| FAIRBANKS, MARK ALAN | VICE PRESIDENT | 1847318 |
| HOOPES, JENNIFER ELLEN | SECRETARY | 5462575 |
| SOMMERS, WESTON | FINOP | 5290145 |
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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