James M. Swartwout

AVANT-GARDE TRADING SECURITIES

CHICAGO, IL 60606

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CRD#: 1922339

Professional summary

James Milo Swartwout, who also goes by James Milo Swartwout II, Jim Swartwout, is a registered financial professional currently at AVANT-GARDE TRADING SECURITIES located in Chicago, Illinois.

James is registered as a RR (Registered Representative) and started their career in finance in 1990. James has worked at 15 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 9, Series 10, Series 30, Series 27, Series 53, Series 8, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Milo Swartwout Ii | Jim Swartwout

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 James Milo Swartwout'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 16, 2025 - Present

AVANT-GARDE TRADING SECURITIES

Office #1: 30 S. Wacker Dr Suite 2840, Chicago, IL 60606

CRD#: 292119

CHICAGO, IL

Past

June 30, 2022 - January 9, 2025

ROBINHOOD FINANCIAL, LLC

CRD#: 165998

Lake Mary, FL

Past

April 4, 2019 - January 9, 2025

ROBINHOOD SECURITIES, LLC

CRD#: 287900

MENLO PARK, CA

Past

April 17, 2018 - March 28, 2019

ALLY INVEST SECURITIES LLC

CRD#: 136131

FORT LAUDERDALE, FL

Past

July 6, 2017 - December 21, 2017

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

March 14, 2014 - December 21, 2017

SCOTTRADE, INC.

CRD#: 8206

ST. LOUIS, MO

Past

April 17, 2008 - March 4, 2014

E*TRADE FUTURES LLC

CRD#: 145562

CHICAGO, IL

Past

January 3, 2006 - April 9, 2007

E*TRADE CLEARING LLC

CRD#: 25025

JERSEY CITY, NJ

Past

April 15, 2005 - April 9, 2007

E*TRADE SECURITIES LLC

CRD#: 29106

CHICAGO, IL

Past

August 14, 2002 - June 17, 2005

E*TRADE CLEARING LLC

CRD#: 25025

JERSEY CITY, NJ

Past

January 14, 1999 - September 3, 2002

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

Past

April 5, 1996 - January 5, 1999

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

September 1, 1994 - March 12, 1996

AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692

BIRMINGHAM, AL

Past

October 21, 1991 - June 3, 1994

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

June 3, 1991 - October 31, 1991

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

March 14, 1991 - June 11, 1991

ROBERT TODD FINANCIAL CORP.

CRD#: 7423

NEW YORK, NY

Past

July 26, 1990 - November 6, 1990

LEHWALD, OROSEY & PEPE INCORPORATED

CRD#: 16677

BOCA RATON, FL

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
(1/16/2025)

Illinois
(1/16/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 7/6/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/10/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/15/2012

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 7/16/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/24/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 30

Date: 8/26/2002

NFA Branch Manager Examination

Principal/Supervisory Exam

Series 27

Date: 7/3/2002

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 6/6/1995

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 2/19/1993

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 4

Date: 9/3/1992

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/3/1992

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

AVANT-GARDE TRADING SECURITIES

AVANT-GARDE TRADING SECURITIES | PROSPERUM SECURITIES LLC DBA AVANT-GARDE TRADING SECURITIES | PROSPERUM FINTECH HOLDINGS, LLC

CRD#: 292119 / SEC#: , 8-70068

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

30 S. Wacker Dr Suite 2840, Chicago, IL 60606

Mailing Address

30 S. Wacker Dr Suite 2840, Chicago, IL 60606

Phone number

(312) 858-5748

Established

Illinois since 11/23/2016

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PROSPERUM FINANCIAL HOLDINGS, LLC	OWNER
ALBINO, MICHAEL JOSEPH	CCO	864412
ARORA, VRINDA	FINOP	7784034
GOMPERT, DAVID JOHN	CEO	1824567

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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Firm Stability Insights

James M. Swartwout

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Milo Swartwout's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROBINHOOD FINANCIAL, LLC

ROBINHOOD SECURITIES, LLC

ALLY INVEST SECURITIES LLC

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

E*TRADE FUTURES LLC

E*TRADE CLEARING LLC

E*TRADE SECURITIES LLC

E*TRADE CLEARING LLC

E*TRADE SECURITIES LLC

FIDELITY BROKERAGE SERVICES LLC

AMSOUTH INVESTMENT SERVICES, INC.

CHARLES SCHWAB & CO., INC.

QUEST CAPITAL STRATEGIES, INC.

ROBERT TODD FINANCIAL CORP.

LEHWALD, OROSEY & PEPE INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 7/6/2017

Series 63

Date: 2/10/1989

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 8/15/2012

Series 55

Date: 7/16/1999

Series 7

Date: 7/24/1990

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 30

Date: 8/26/2002

Series 27

Date: 7/3/2002

Series 53

Date: 6/6/1995

Series 8

Date: 2/19/1993

Series 4

Date: 9/3/1992

Series 24

Date: 2/3/1992

FINRA

Current Firm

AVANT-GARDE TRADING SECURITIES

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

AVANT-GARDE TRADING SECURITIES

TRUST BUT VERIFY

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