Steven D. 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.
Steven Dean Swanson, who also goes by Steve Swanson, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1994. Steven had worked at 5 firms and has passed the Series 63, Series 55, Series 7 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
May 1, 2012 - November 30, 2012
ELADIAN PARTNERS BROKERAGE LLC
December 22, 2008 - June 29, 2010
LAVAFLOW, INC.
December 2, 2008 - June 24, 2010
CITIGROUP GLOBAL MARKETS INC.
November 4, 2003 - June 29, 2010
CITI ORDER ROUTING AND EXECUTION, LLC
May 16, 1994 - June 29, 2010
AUTOMATED TRADING DESK BROKERAGE SERVICES, LLC
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
Series 55
Date: 4/19/2000
Limited Representative-Equity Trader ExamCurrent Firm
ELADIAN PARTNERS BROKERAGE LLC
CRD#: 158893 / SEC#: , 8-68940
Contact information
Documents
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.
