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GS

George L. Swan

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CRD#: 1292381
GS

Professional summary

George Lorenzo Swan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

George is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, George had worked at 2 firms, which includes CYGNET SECURITIES INC., LEHMAN BROTHERS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

George L Swan

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 14, 1994 - June 26, 1997

CYGNET SECURITIES, INC.

BD
CRD#: 28686
WALDWICK, NJ
Past

August 21, 1984 - September 19, 1989

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/15/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/12/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 10/1/1984
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/23/1994
General Securities Principal Examination

Current Firm

CS
CYGNET SECURITIES, INC.
CYGNET SECURITIES, INC. | LEIGH D. BALDWIN & CO., INC.

CRD#: 28686 / SEC#: , 8-43884

BD
Cancelled by SEC on 08/29/1997
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 07/10/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

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.

Company Information

CYGNET SECURITIES, INC.

CRD#: 28686

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