John R. Swift
Professional summary
John R Swift is a registered financial professional currently at ROCKFLEET FINANCIAL SERVICES, INC located in Venice, Florida.
John is registered as a RR (Registered Representative) and started their career in finance in 2003. John has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John R Swift's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 15, 2018 - Present
ROCKFLEET FINANCIAL SERVICES, INC
Office #1: 1101 Tamiami Trail S Suite 101, Venice, FL 34285November 21, 2012 - March 16, 2018
FORESIDE FUND SERVICES, LLC
May 3, 2011 - August 31, 2012
CAREY FINANCIAL, LLC
July 24, 2008 - May 10, 2011
UBS FINANCIAL SERVICES INC.
January 22, 2003 - May 10, 2011
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
(2/7/2025)
Exams
FINRA
Current Firm
ROCKFLEET FINANCIAL SERVICES, INC
CRD#: 149325 / SEC#: , 8-68139
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CORRIGAN, CATHERINE MARY | PRESIDENT, CEO, CHIEF OPERATIONS OFFICER, FINOP, CCO | 1869713 |
| ROCKFLEET FINANCIAL SERVICES INC 401K PLAN | PROXY OWNER | |
| ROCKFLEET INVESTOR PARTNERS II L.P. | PROXY OWNER | |
| ROCKFLEET INVESTOR PARTNERS L.P. | PROXY OWNER |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 450,000 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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