Robert H. Swindell
Professional summary
Robert Haldane Swindell III, who also goes by Bob H Swindell, Robert Haldane (iii) Swindell, is a registered financial professional currently at GLC SECURITIES, LLC located in New York, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1994. Robert has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Haldane Swindell III's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 12, 2012 - Present
GLC SECURITIES, LLC
Office #1: 600 Lexington Avenue 9th Floor, New York, NY 10022October 7, 2009 - February 28, 2012
B. RILEY SECURITIES, INC.
July 13, 1994 - June 30, 2003
LEHMAN BROTHERS 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
(7/12/2012)
(7/12/2012)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
GLC SECURITIES, LLC
CRD#: 153581 / SEC#: , 8-68557
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GLC ADVISORS & CO. HOLDINGS, LLC | OWNER | |
| BENNINGER, THOMAS MICHAEL | PRINCIPAL | |
| HAN, ABRAHAM T | PRINCIPAL | |
| KINZER, CAROL ANN | FINOP/CFO | 4519471 |
| REYNERTSON, JON SOREN | PRINCIPAL/CEO/CCO |
Red Flags
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