William Mckenzie Swenson
Professional Summary
William Mckenzie Swenson, who also goes by Bill Swenson, William M Swenson, William Mckenzie Swenson Mr, William Mckenzie Swenson Sr, is a registered financial advisor currently at ERG SECURITIES (US) LLC located in New Haven, Connecticut. William is registered as a RR (Registered Representative) and started their career in finance in 1986. William has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
William Mckenzie Swenson, Bill Swenson, William M Swenson, William Mckenzie Swenson Mr, William Mckenzie Swenson Sr
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
32 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
ASPERION GROUP LLC | ERG SECURITIES (US) LLC
Contact Information
Main Address
157 Church Street 19th Floor, New Haven, CT 06510Mailing Address
157 Church Street 19th Floor, New Haven, CT 06510Phone Number
(646) 571-0173Established
Delaware since 04/26/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (16 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(6/30/2016)
(7/5/2016)
(8/10/2016)
(7/22/2016)
(7/22/2016)
(8/26/2016)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view William Mckenzie Swenson's CRS (Customer Relationship Summary).
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