David A. Swanson
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.
David Allan Swanson, CFP® was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 8 firms and has passed the Series 63, 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
February 24, 1994 - March 18, 1994
REPUBLIC SECURITIES, INC.
November 11, 1993 - February 26, 1994
CAPITAL BROKERAGE CORPORATION
February 12, 1993 - August 26, 1993
FIRST UNION BROKERAGE SERVICES, INC.
January 30, 1992 - July 13, 1992
SUNPOINT SECURITIES, INC.
January 14, 1991 - July 5, 1991
RETIREMENT INVESTMENT GROUP
March 9, 1989 - May 10, 1989
CAL FED INVESTMENTS
January 8, 1986 - March 26, 1988
CITIGROUP GLOBAL MARKETS INC.
December 2, 1985 - January 13, 1986
THE STUART-JAMES COMPANY, INCORPORATED
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
REPUBLIC SECURITIES, INC.
CRD#: 15043 / SEC#: , 8-31575
Contact information
Documents
Red Flags
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