Marvin R. Swentkofske
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.
Marvin Robert Swentkofske, who also goes by Marvin Swentkofske, was a registered financial advisor .
Marvin is a previously registered financial advisor and started their career in finance in 1987. Marvin had worked at 3 firms and has passed the Series 65 and Series 63 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 31, 2000 - January 24, 2006
OPTIMUM INVESTMENT ADVISORS, LLC
February 21, 1995 - December 31, 2002
FFP ADVISORY SERVICES INC
February 13, 1987 - August 11, 2009
SUMMIT INVESTMENT MANAGEMENT, LTD.
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
OPTIMUM INVESTMENT ADVISORS, LLC
CRD#: 105182 / SEC#: 801-35773
Contact information
Regulatory assets under management
| Total Number of Accounts | 426 |
| AUM (Assets Under Management) | $ 321,771,981 |
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.
