John Dixon Swarthout
Professional Summary
John Dixon Swarthout was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1984 - 2014. John had worked at 8 firms and has passed the Series 63, SIE, Series 6 and Series 26 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.
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.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
CITIZENS SECURITIES | WORKING ASSETS LIMITED PARTNERSHIP | WORKING ASSETS CAPITAL MANAGEMENT | RIDGEWORTH DISTRIBUTORS LLC | FORESIDE ASSOCIATES, LLC
Contact Information
Established
Delaware since 08/01/2008Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
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 |
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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 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 1984About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Mar 2000About the Series 26 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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