Paul W. Swenson
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.
Paul Wesley Swenson was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1984. Paul had worked at 9 firms and has passed the Series 65, Series 63, Series 31, Series 3 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 13, 2008 - August 27, 2012
FELTL & COMPANY
May 24, 2005 - June 17, 2008
WELLS FARGO CLEARING SERVICES, LLC
March 9, 2005 - March 9, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 7, 2000 - June 17, 2008
WELLS FARGO CLEARING SERVICES, LLC
May 29, 1996 - July 10, 2000
JOHN G. KINNARD AND COMPANY, INCORPORATED
September 1, 1994 - May 29, 1996
PRINCIPAL FINANCIAL SECURITIES,INC.
July 19, 1993 - September 1, 1994
HAMILTON INVESTMENTS, INC.
August 13, 1990 - July 19, 1993
CRAIG-HALLUM, INC.
February 29, 1988 - August 10, 1990
MORGAN STANLEY DW INC.
February 28, 1988 - August 10, 1990
MORGAN STANLEY DW INC.
October 29, 1984 - February 8, 1988
DAIN RAUSCHER INCORPORATED
August 23, 1984 - August 30, 1984
PAGEL INC.
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
FELTL & COMPANY
CRD#: 6905 / SEC#: 801-68779, 8-18435
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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