Eric W. Swenson
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.
Eric William Swenson was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1990. Eric had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2011 - November 7, 2013
SELECT CAPITAL CORPORATION
April 8, 2010 - October 4, 2011
U.S. SELECT SECURITIES LLC
May 16, 2007 - December 23, 2009
OMNI BROKERAGE, INC.
June 27, 2005 - March 1, 2007
U.S. SELECT SECURITIES LLC
May 24, 2002 - June 20, 2005
COMMONWEALTH FINANCIAL NETWORK
December 2, 1999 - May 29, 2002
SECURITIES AMERICA, INC.
May 1, 1996 - December 6, 1999
OSAIC WEALTH, INC.
January 10, 1991 - May 3, 1996
IDS LIFE INSURANCE COMPANY
January 10, 1991 - May 3, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
June 27, 1990 - December 12, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 27, 1990 - December 12, 1990
EQUITABLE ADVISORS, LLC
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
SELECT CAPITAL CORPORATION
CRD#: 145997 / SEC#: , 8-67772
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
