Theodore M. Swartwood
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.
Theodore Matthew Swartwood, who also goes by Ted Swartwood, was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1992. Theodore had worked at 6 firms and has passed the Series 63, SIE, Series 55 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
September 22, 2014 - February 23, 2016
SWARTWOOD, HESSE INC.
August 31, 2009 - May 14, 2012
PRUCO SECURITIES, LLC.
March 19, 2003 - August 18, 2009
SWARTWOOD, HESSE INC.
February 10, 1999 - March 10, 2003
CROWN FINANCIAL GROUP, INC.
May 1, 1998 - February 9, 1999
THE CONCORD EQUITY GROUP, LLC
February 18, 1997 - May 5, 1998
DONALD & CO. SECURITIES INC.
June 8, 1992 - February 18, 1997
DICKINSON & CO.
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
Series 55
Date: 8/30/1999
Limited Representative-Equity Trader ExamCurrent Firm
SWARTWOOD, HESSE INC.
CRD#: 8603 / SEC#: , 8-25778
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KATZ, MARIE | FINANCIAL AND OPERATIONS PRINCIPAL AND CCO | 2457660 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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