Gary R. Swisher
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.
Gary Russell Swisher was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1984. Gary had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2002 - December 31, 2014
SWISHER FINANCIAL CONCEPTS, INC.
January 17, 1992 - December 31, 2014
THE O.N. EQUITY SALES COMPANY
July 9, 1990 - January 22, 1992
HORNOR, TOWNSEND & KENT, LLC
May 2, 1988 - July 9, 1990
G. R. PHELPS & CO., INC.
July 26, 1984 - May 13, 1988
GREAT LAKES SECURITIES INC.
Primary Firm SEC Registration
SWISHER FINANCIAL CONCEPTS, INC.
CRD#: 121384 / SEC#: 801-115211
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
SWISHER FINANCIAL CONCEPTS, INC.
CRD#: 121384 / SEC#: 801-115211
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,455 |
| AUM (Assets Under Management) | $ 316,989,035 |
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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