Stanley L. Swoyer
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.
Stanley Leighton Swoyer, who also goes by Stanley Swoyer, was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1988. Stanley had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 1992 - July 20, 1992
FIRST ASSET MANAGEMENT, INC.
April 2, 1991 - November 11, 1992
SCHNEIDER SECURITIES, INC.
April 6, 1990 - January 28, 1991
KOCHCAPITAL
February 27, 1990 - April 10, 1990
GLOBAL CAPITAL SECURITIES, INC.
March 7, 1989 - March 19, 1990
J. W. GANT & ASSOCIATES, INC.
December 20, 1988 - March 10, 1989
INVESTORS CENTER, 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
FIRST ASSET MANAGEMENT, INC.
CRD#: 17341 / SEC#: , 8-35154
Contact information
Documents
Red Flags
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