Barbara 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.
Barbara Ann Swanson, who also goes by Barb Swanson, Barbara Ann Williams Miss, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1987. Barbara had worked at 6 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2011 - June 10, 2013
ALLIED BEACON PARTNERS, INC.
February 6, 2009 - September 30, 2011
WORKMAN SECURITIES CORPORATION
April 21, 2004 - December 23, 2008
MML INVESTORS SERVICES, LLC
January 23, 2001 - May 10, 2004
NYLIFE SECURITIES LLC
August 23, 1989 - January 9, 2001
SECURITIES AMERICA, INC.
May 27, 1987 - June 7, 1989
OSAIC FS, 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
ALLIED BEACON PARTNERS, INC.
CRD#: 46227 / SEC#: , 8-51357
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEACON AQUISITION PARTNERS, INC | SHAREHOLDER | |
| MATHER, ROBERT PHILIP | PRESIDENT, CEO, CCO, CFO AND CORPORATE SECRETARY | 1764918 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
