Scott R. Swanson

COHEN & COMPANY SECURITIES

BOCA RATON, FL 33431

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CRD#: 1774196

Professional summary

Scott Robert Swanson is a registered financial professional currently at COHEN & COMPANY SECURITIES, LLC located in Boca Raton, Florida.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1987. Scott has worked at 9 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott Robert Swanson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 31, 2014 - Present

COHEN & COMPANY SECURITIES, LLC

Office #1: 1800 N. Military Trail Suite 450, Boca Raton, FL 33431

CRD#: 149758

BOCA RATON, FL

Past

July 31, 2009 - January 31, 2014

JVB FINANCIAL GROUP, LLC

CRD#: 104412

BOCA RATON, FL

Past

April 14, 2008 - July 30, 2009

MULTI-BANK SECURITIES, INC.

CRD#: 22098

FT. LAUDERDALE, FL

Past

June 1, 2001 - March 13, 2008

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

Past

May 16, 1998 - June 6, 2001

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

Past

September 26, 1989 - November 25, 1997

AVM, L.P.

CRD#: 16710

BOCA RATON, FL

Past

March 3, 1989 - December 5, 1989

LORD WILLIAMS & BUTTARI INCORPORATED

CRD#: 16399

Past

January 19, 1989 - April 5, 1989

U.S. ADVISORS, INC.

CRD#: 10721

Past

December 21, 1987 - January 24, 1989

GRAYSTONE NASH, INC.

CRD#: 10635

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(1/31/2014)

Missouri
(8/28/2020)

New York
(2/1/2014)

Ohio
(8/30/2020)

Oklahoma
(8/28/2020)

Exams

State Security Law Exam

Series 63

Date: 4/7/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/21/1987

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758 / SEC#: , 8-68186

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

3 Columbus Circle 24th Floor, New York, NY 10019

Mailing Address

3 Columbus Circle 24th Floor, New York, NY 10019

Phone number

(646) 792-5600

Established

Delaware since 12/05/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
J.V.B. FINANCIAL GROUP HOLDINGS, LP.	SOLE MEMBER
BRAFMAN, LESTER RAYMOND	CHIEF EXECUTIVE OFFICER	1895749
BURKLIN, STEPHAN GEORGE	EXECUTIVE VICE PRESIDENT	1808970
LISTMAN, DOUGLAS	CFO	5894307
VACCA, KATHARINE ELIZABETH	CHIEF COMPLIANCE OFFICER	1821586

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Scott R. Swanson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott Robert Swanson's CRS (Customer Relationship Summary).

Certified licenses

Experience

JVB FINANCIAL GROUP, LLC

MULTI-BANK SECURITIES, INC.

LASALLE FINANCIAL SERVICES, INC.

ABN AMRO INCORPORATED

AVM, L.P.

LORD WILLIAMS & BUTTARI INCORPORATED

U.S. ADVISORS, INC.

GRAYSTONE NASH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/7/1988

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/21/1987

FINRA

Nasdaq Stock Market

Current Firm

COHEN & COMPANY SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

COHEN & COMPANY SECURITIES, LLC

TRUST BUT VERIFY

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