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Spencer W. Swalm

Some features on this profile are disabled
CRD#: 2238047
SS

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.

Spencer Wesley Swalm was a registered financial professional .

Spencer is a previously registered financial professional and started their career in finance in 1992. Spencer had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 1, 2017 - November 21, 2017

PENSIONMARK SECURITIES, LLC

BD
CRD#: 283952
Denver, CO
Past

September 28, 2015 - September 1, 2017

CAPFINANCIAL SECURITIES, LLC.

BD
CRD#: 126291
Denver, CO
Past

August 4, 2015 - November 21, 2017

WORLD INVESTMENT ADVISORS, LLC

RIA
CRD#: 208512
DENVER, CO
Past

December 23, 2014 - September 29, 2015

INDEPENDENT FINANCIAL PARTNERS

RIA
CRD#: 125112
DENVER, CO
Past

October 2, 2014 - September 25, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
DENVER, CO
Past

July 27, 2010 - October 6, 2014

FINANCIAL TELESIS INC

BD
CRD#: 31012
DENVER, CO
Past

June 12, 1997 - September 27, 2004

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
NEWARK, DE
Past

August 27, 1993 - June 17, 1997

BMA FINANCIAL SERVICES, INC.

BD
CRD#: 7943
KANSAS CITY, MO
Past

June 25, 1992 - August 27, 1993

EQUITY SERVICES, INC.

BD
CRD#: 265
MONTPELIER, VT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/23/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/18/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/21/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/26/2010
Investment Company Products/Variable Contracts Representative Examination

Current Firm

PS
PENSIONMARK SECURITIES, LLC
PENSIONMARK SECURITIES, LLC | PFG SECURITIES, LLC. | PENSIONMARK SECURITIES, LLC.

CRD#: 283952 / SEC#: , 8-69773

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
24 East Cota Street Suite 200, Santa Barbara, CA 93101
Mailing Address
24 East Cota Street Suite 200, Santa Barbara, CA 93101
Phone number
(888) 201-5488
Established
Delaware since 04/22/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (20 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WORLD INVESTMENT ADVISORS, LLCOWNER208512
CARTER, ANA RFINOP, PFO, POO4424794
CURLEY, JONATHAN ECHIEF COMPLIANCE OFFICER827148
HAMMOND, TROY GLENPRESIDENT/CEO2254232

Disclosures

Regulatory Event1

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.

Company Information

PENSIONMARK SECURITIES, LLC

CRD#: 283952

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