John L. Mcswain
Professional summary
John Lee Mcswain was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, John had worked at 5 firms, which includes POLARIS FINANCIAL SERVICES INC., NORTH AMERICAN MANAGEMENT INC., TOWER INVESTMENT GROUP INC., WALNUT STREET SECURITIES INC., PFS INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 1994 - December 31, 1998
POLARIS FINANCIAL SERVICES, INC.
May 18, 1994 - July 5, 1994
NORTH AMERICAN MANAGEMENT, INC.
April 27, 1993 - May 23, 1994
TOWER INVESTMENT GROUP, INC.
May 2, 1990 - April 27, 1993
WALNUT STREET SECURITIES, INC.
December 9, 1985 - May 7, 1990
PFS INVESTMENTS 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
POLARIS FINANCIAL SERVICES, INC.
CRD#: 14521 / SEC#: , 8-29480
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE POLARIS GROUP, INC. | PARENT | |
| JEFFERSON PILOT SECURITIES CORPORATION | STOCKHOLDER | 3870 |
| ANGARELLA, RONALD RICHARD | CHAIRMAN, PRESIDENT | 1785580 |
| ARMSTRONG, DAVID EDWARD | ASSISTANT VICE PRESIDENT, MARKETING | 2465424 |
| BOOTH, DAVID KENNETH | VICE PRESIDENT, MARKETING | 2030529 |
| BOULTER, WARREN THOMAS | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 26914 |
| CLIFFORD, LISA SCHLOSSER | ASSISTANT VICE PRESIDENT, COMPLIANCE | 1745774 |
| HARDIMAN, CAROL ROBINSON | VICE PRESIDENT, ADMINISTRATION | 831061 |
| LEASE, SHARI JANE | SECRETARY | 2631744 |
| MURRAY, MICHAEL FRANCIS | ASSISTANT VICE PRESIDENT, INVESTMENT OPERATIONS | 2074275 |
| WALCZAK, ROBERT JOSEPH | OFFICER FOR INSURANCE PURPOSES | 456804 |
| WESTON, JOHN ARTHUR | TREASURER | 1244146 |
| WILBUR, DONNA MANNING | ASSISTANT TREASURER | 2475466 |
Disclosures
| Civil Event | 1 |
| Arbitration | 1 |
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