Thomas B. Swan
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.
Thomas Brian Swan was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2014 - May 30, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
May 27, 2008 - May 30, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
March 5, 2003 - June 20, 2008
FINANCIAL WEST GROUP
May 1, 1998 - January 17, 2003
WAMU INVESTMENTS, INC.
February 17, 1998 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
April 24, 1995 - December 16, 1997
SUNAMERICA SECURITIES, INC.
June 2, 1994 - April 11, 1995
IFG NETWORK SECURITIES, INC.
April 6, 1994 - May 10, 1994
SENTRA SECURITIES CORPORATION
January 7, 1993 - December 31, 1993
IFG NETWORK SECURITIES, INC.
February 5, 1992 - December 31, 1992
PLANNED INVESTMENTS INC.
September 28, 1987 - August 19, 1991
PFS INVESTMENTS 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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
