Vickie R. Swanson
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.
Vickie Renee Swanson, who also goes by VIckie Renee Woodrum, was a registered financial professional .
Vickie is a previously registered financial professional and started their career in finance in 1993. Vickie had worked at 11 firms and has passed the Series 66, Series 63, SIE, 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 4, 2021 - October 27, 2021
CFD INVESTMENTS, INC.
June 3, 2021 - October 27, 2021
CREATIVE FINANCIAL DESIGNS, INC.
September 8, 2017 - June 21, 2019
EQUITABLE ADVISORS, LLC
September 6, 2017 - June 21, 2019
EQUITABLE ADVISORS, LLC
August 3, 2017 - September 5, 2017
EQUITABLE ADVISORS, LLC
October 1, 2014 - November 11, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
October 1, 2014 - November 11, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
May 23, 2014 - October 7, 2014
CREATIVE FINANCIAL DESIGNS, INC.
May 23, 2014 - October 7, 2014
CFD INVESTMENTS, INC.
November 13, 2009 - May 8, 2014
LPL FINANCIAL LLC
June 24, 2009 - May 1, 2014
WELLSPRING WEALTH MANAGEMENT LLC
November 21, 2005 - July 28, 2009
MEADOWBROOK SECURITIES LLC
June 20, 2005 - December 31, 2007
WELLSPRING WEALTH MANAGEMENT LLC
April 15, 2005 - October 13, 2009
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
March 28, 2005 - November 13, 2009
ASSOCIATED SECURITIES CORP.
April 7, 2003 - March 24, 2005
CHARLES SCHWAB & CO., INC.
September 1, 1997 - March 24, 2005
CHARLES SCHWAB & CO., INC.
May 18, 1993 - April 25, 1997
PFS INVESTMENTS 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
CFD INVESTMENTS, INC.
CRD#: 25427 / SEC#: , 8-41727
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAUN, BRIGIT R | OWNER | 6585909 |
| OWENS, BRENT ANTHONY | PRESIDENT/DIRECTOR | 2261719 |
| ROCKEY, BROOKE LEIGH | OWNER | 4817176 |
| THE OWENS FAMILY TRUST DATED 8/1/2017 | OWNER | |
| BAHRENBURG, MATTHEW O | CHIEF COMPLIANCE OFFICER | 5295661 |
| HALE, DANIEL KRIS | OWNER, VICE PRESIDENT, DIRECTOR | 2649813 |
| OWENS, MICKEY LEE | DIRECTOR, TRUSTEE OF THE OWENS FAMILY TRUST DATED 8/1/2017 | 1437001 |
| ROCKEY, CHRISTOPHER M | OWNER | 5504531 |
| ROOZE, KREGG JERROD | DIRECTOR, SECRETARY, TREASURER | 3174063 |
Disclosures
| Regulatory Event | 8 |
| Bond | 1 |
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.
