William M. 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 professional currently at ERG SECURITIES (US) LLC located in Norwalk, 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Mckenzie Swenson's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2016 - Present
ERG SECURITIES (US) LLC
Office #1: 50 Washington Street, Suite 921, Norwalk, CT 06854March 17, 2014 - June 19, 2015
CANACCORD GENUITY LLC
March 7, 2012 - April 10, 2014
NORTH SEA SECURITIES L.P.
December 8, 2010 - December 12, 2011
GUGGENHEIM SECURITIES, LLC
November 5, 2004 - July 3, 2007
FIRST CITIZENS CAPITAL SECURITIES, LLC
January 28, 1999 - March 6, 2003
CIBC WORLD MARKETS CORP.
November 3, 1997 - March 27, 1998
CIBC WORLD MARKETS CORP.
May 14, 1996 - November 3, 1997
CIBC WOOD GUNDY SECURITIES CORP.
January 21, 1986 - December 19, 1987
CITICORP SECURITIES, 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
(6/30/2016)
(7/5/2016)
(8/10/2016)
(7/22/2016)
(7/22/2016)
(8/26/2016)
Exams
FINRA
Current Firm
ERG SECURITIES (US) LLC
CRD#: 121057 / SEC#: , 8-65376
Contact information
FINRA licenses (16 States and Territories)
Documents
Red Flags
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