John Schwalenberg
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 Schwalenberg, who also goes by John Nmn Schwalenberg, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2023 - September 1, 2023
OLYMPUS CAPITAL, LLC
January 15, 2021 - November 3, 2021
BARNABAS CAPITAL, LLC
January 31, 2018 - October 6, 2020
THE LEADERS GROUP, INC.
June 7, 2016 - December 31, 2016
THE LEADERS GROUP, INC.
February 28, 2011 - March 30, 2016
WFG INVESTMENTS, INC.
January 23, 2006 - June 11, 2010
STERNE, AGEE & LEACH, INC.
September 18, 2002 - January 20, 2006
HILLTOP SECURITIES INC.
January 24, 2002 - August 12, 2002
CANTOR FITZGERALD & CO.
March 2, 1998 - November 20, 2001
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
June 13, 1996 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
March 2, 1995 - February 14, 1996
SBC WARBURG, INC.
June 20, 1984 - February 11, 1987
NASH, WEISS & CO.
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 55
Date: 11/4/2004
Limited Representative-Equity Trader ExamCurrent Firm
OLYMPUS CAPITAL, LLC
CRD#: 310659 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 216 |
| AUM (Assets Under Management) | $ 43,103,653 |
Red Flags
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