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David A. Swoish

Some features on this profile are disabled
CRD#: 1894907
DS

Professional summary

David Alvin Swoish was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, David had worked at 3 firms, which includes FENWICK SECURITIES INC., AMERICAN GENERAL EQUITY SERVICES CORPORATION, RIDEAU LYONS & CO..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dave Swoish

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 30, 1998 - September 24, 2007

FENWICK SECURITIES, INC.

BD
CRD#: 45353
KALAMAZOO, MI
Past

September 10, 1993 - December 11, 1996

AMERICAN GENERAL EQUITY SERVICES CORPORATION

BD
CRD#: 5435
HOUSTON, TX
Past

December 20, 1988 - January 24, 1992

RIDEAU LYONS & CO.

BD
CRD#: 17974
LOS ANGELES, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/25/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/11/1989
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/21/1988
Financial and Operations Principal Examination

Current Firm

FS
FENWICK SECURITIES, INC.
FENWICK SECURITIES, INC.

CRD#: 45353 / SEC#: , 8-51023

BD
Terminated by SEC on 02/13/2017
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Contact information

Main Address
5217 Lovers Lane, Kalamazoo, MI 49002
Mailing Address
Phone number
Established
Michigan since 04/01/1998
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ARNOLD, ERIC BRUCEPRESIDENT/CHIEF COMPLIANCE OFFICER1031221
LENART, BRIAN DOUGLASFINOP736107

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.

Company Information

FENWICK SECURITIES, INC.

CRD#: 45353

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