Marsha K. Swanson
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.
Marsha Kristin Swanson, who also goes by Marsha K Swanson, Marsha K Swanson-cornett, Marsha Kristin Swansonthacker, was a registered financial professional .
Marsha is a previously registered financial professional and started their career in finance in 1989. Marsha had worked at 7 firms and has passed the Series 63, SIE 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
April 28, 2015 - November 30, 2015
FFEC WEALTH PARTNERS LLC
January 21, 1999 - April 27, 2015
PERKINS, SMART & BOYD, INC.
January 4, 1996 - January 5, 1999
INVESTMENT CENTERS OF AMERICA, INC.
April 13, 1994 - January 12, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 13, 1994 - January 12, 1996
OSAIC FA, INC.
October 27, 1989 - April 19, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 27, 1989 - April 19, 1994
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
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
