Jeffrey T. Swan
Professional summary
Jeffrey Thomas Swan is a registered financial professional currently at MISCHLER FINANCIAL GROUP, INC. located in Irvine, California.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1984. Jeffrey has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Thomas Swan's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 17, 1996 - Present
MISCHLER FINANCIAL GROUP, INC.
Office #1: 19800 Macarthur Blvd. Suite 600, Irvine, CA 92612Office #2: 19800 Macarthur Blvd. Suite 600, Irvine, CA 92612November 6, 2007 - April 2, 2008
MISCHLER FINANCIAL GROUP, INC.
May 1, 1995 - September 4, 1996
GILFORD SECURITIES INCORPORATED
May 8, 1990 - May 15, 1995
LIBERTY CAPITAL MARKETS, INC.
January 20, 1989 - May 17, 1990
RESOURCE MANAGEMENT ASSOCIATES, GSI
November 20, 1987 - January 26, 1989
MCG PORTFOLIO MANAGEMENT CORP.
April 10, 1986 - November 30, 1987
LIBERTY CAPITAL MARKETS, INC.
November 13, 1984 - January 31, 1985
LIBERTY EQUITIES, 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
(9/17/1996)
(10/5/2016)
(1/18/2024)
(10/5/2016)
(1/3/2020)
(1/15/2021)
(10/5/2016)
(1/15/2021)
(1/3/2020)
(9/30/2025)
(4/27/2023)
(10/5/2016)
(2/23/2022)
(12/1/2009)
(1/15/2021)
(4/18/2016)
(7/30/2009)
(9/29/2016)
(1/3/2020)
(9/8/2016)
(10/5/2016)
(1/18/2024)
Exams
FINRA
Current Firm
MISCHLER FINANCIAL GROUP, INC.
CRD#: 37818 / SEC#: , 8-48067
Contact information
FINRA licenses (49 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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