Gilbert B. Swarts
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.
Gilbert Bradley Swarts, who also goes by Brad Swarts, was a registered financial professional .
Gilbert is a previously registered financial professional and started their career in finance in 1986. Gilbert had worked at 12 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 1998 - August 17, 1998
WESTMINSTER FINANCIAL SECURITIES, INC.
January 23, 1997 - April 1, 1998
SAN CLEMENTE SECURITIES, INC.
March 18, 1996 - November 14, 1996
LEGACY FINANCIAL SERVICES, INC.
February 22, 1996 - March 22, 1996
WMA SECURITIES, INC.
January 6, 1994 - September 12, 1994
MEYERS POLLOCK ROBBINS, INC.
June 26, 1992 - January 26, 1994
SECURITIES AMERICA, INC.
February 21, 1990 - February 18, 1992
METROPOLITAN LIFE INSURANCE COMPANY
February 21, 1990 - February 18, 1992
MSI FINANCIAL SERVICES, INC.
September 18, 1989 - January 20, 1990
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 15, 1989 - October 12, 1989
DONALD & CO. SECURITIES INC.
May 19, 1988 - February 27, 1989
POWER SECURITIES CORPORATION
May 22, 1986 - May 26, 1988
BLINDER, ROBINSON & CO., 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
WESTMINSTER FINANCIAL SECURITIES, INC.
CRD#: 20677 / SEC#: , 8-38426
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
