Adam Bruce Swickle
Professional Summary
Adam Bruce Swickle, who also goes by Adam B Swickle, was a registered financial advisor. Adam was a previously registered financial professional and started their career in finance 1992 - 2000. Adam had worked at 9 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Adam B Swickle
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
REGENCY HOLDING GROUP, INC. | THE REGENCY GROUP, INC.
Contact Information
Established
Delaware since 03/20/1998Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REGENCY HOLDING GROUP, INC. | OWNER | — |
| APPELL, DAVID AARON | PRESIDENT, CEO, SROP, CROP, MANAGING DIRECTOR | — |
| GRANT, KEITH RAYIGNATIUS | CFO, COO | 2747595 |
| GRILLAS, NICHOLAS DEMETRIOS | DIRECTOR OF COMPLIANCE | 2545323 |
| MAIORANO, DOMINICK ROBERT | HEAD TRADER, ROP, GOV'T SECURITIES PRINCIPAL | — |
| SWICKLE, ADAM BRUCE | MANAGING DIRECTOR-SALES, SECRETARY | — |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1992About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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