Laurence E. Swann
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.
Laurence Eric Swann, who also goes by L Eric Swann, was a registered financial professional .
Laurence is a previously registered financial professional and started their career in finance in 1987. Laurence had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 6, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 1995 - March 1, 2021
LEERINK PARTNERS LLC
May 22, 1995 - November 15, 1995
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 8, 1989 - June 14, 1995
DETWILER FENTON & CO.
October 14, 1987 - August 15, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 14, 1987 - August 15, 1989
EQUITABLE ADVISORS, LLC
January 20, 1987 - July 8, 1987
FORESTERS FINANCIAL SERVICES, 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
Series 7TO
Date: 4/21/2024
General Securities Representative ExaminationCurrent Firm
LEERINK PARTNERS LLC
CRD#: 39011 / SEC#: 801-68264, 8-48535
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEERINK INTERMEDIATE HOLDINGS LLC | MEMBER | |
| CASEY, KEVIN MICHAEL | CHIEF COMPLIANCE OFFICER | 4754440 |
| DAVIDSON, THOMAS ADAM | SENIOR MANAGING DIRECTOR | 2248233 |
| DUBIN, DANIEL BARRY | SENIOR MANAGING DIRECTOR | 3231063 |
| GENTILE, JOSEPH ROBERT | CHIEF ADMINISTRATIVE OFFICER | 2545927 |
| HEINEMAN, STEVEN P | GENERAL COUNSEL | 5386950 |
| JURKIEWICZ, GREGG MARTIN | FINOP | 4440135 |
| LEERINK, JEFFREY ALAN | CEO | 1718986 |
| OLSON, ERIC PATRICK | PRINCIPAL OPERATIONS OFFICER | 2542584 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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