Pat H. Swanson
Professional summary
Pat Henry Swanson, who also goes by Pat Swanson, is a registered financial professional currently at TPEG SECURITIES, LLC located in Southlake, Texas.
Pat is registered as a RR (Registered Representative) and started their career in finance in 1994. Pat has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 2 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Pat Henry Swanson's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 27, 2019 - Present
TPEG SECURITIES, LLC
Office #1: 2102 E State Hwy 114 Suite 300, Southlake, TX 76092March 17, 2015 - July 31, 2019
OXBOW ADVISORS, LLC
April 14, 1994 - November 12, 2015
REK ADVISORS, 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
(8/14/2020)
(8/14/2020)
(1/17/2022)
(1/17/2022)
(8/14/2020)
(1/17/2022)
(8/14/2020)
(1/17/2022)
(8/14/2020)
(8/14/2020)
(8/14/2020)
(8/14/2020)
(7/26/2023)
(1/17/2022)
(9/4/2019)
(8/14/2020)
(8/14/2020)
Exams
Series 7TO
Date: 8/27/2019
General Securities Representative ExaminationSeries 2
Date: 1/27/1994
Non-Member General Securities ExaminationFINRA
Current Firm
TPEG SECURITIES, LLC
CRD#: 146726 / SEC#: , 8-67843
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
