Adam B. Swickle
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.
Adam Bruce Swickle, who also goes by Adam B Swickle, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1992. Adam had worked at 9 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 1999 - December 20, 2000
THE REGENCY GROUP, INC.
May 8, 1998 - June 15, 1999
WILLIAM SCOTT & CO. L.L.C.
December 19, 1996 - April 6, 1998
MEYERS POLLOCK ROBBINS, INC.
January 3, 1996 - December 5, 1996
LEGEND MERCHANT GROUP, INC.
June 29, 1995 - December 19, 1995
JOSEPHTHAL & CO., INC.
February 2, 1994 - June 28, 1995
STRATTON OAKMONT INC.
July 13, 1992 - January 5, 1994
GUARDIAN INVESTOR SERVICES LLC
May 13, 1992 - June 11, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 13, 1992 - June 11, 1992
SIGNATOR INVESTORS, INC.
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
THE REGENCY GROUP, INC.
CRD#: 45216 / SEC#: , 8-50995
Contact information
Documents
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 |
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.
