Daniel S. Swisher
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.
Daniel S Swisher, who also goes by Daniel Scott Swisher, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1995. Daniel had worked at 10 firms and has passed the Series 65, Series 63, 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
October 4, 2012 - February 15, 2013
P.J. ROBB VARIABLE, LLC
December 10, 2010 - January 6, 2011
EQUITY SERVICES, INC.
October 15, 2008 - August 24, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
February 24, 2006 - March 27, 2008
LPL FINANCIAL LLC
February 24, 2006 - March 27, 2008
LPL FINANCIAL LLC
July 18, 2005 - September 21, 2005
LEVEL FOUR ADVISORY SERVICES
November 1, 2002 - October 14, 2005
SECURITIES AMERICA, INC.
January 10, 2001 - October 31, 2002
NATIONAL PLANNING CORPORATION
January 10, 2001 - October 31, 2002
NATIONAL PLANNING CORPORATION
August 14, 2000 - December 31, 2000
1ST GLOBAL CAPITAL CORP.
October 3, 1997 - June 1, 2000
1ST GLOBAL CAPITAL CORP.
October 24, 1995 - May 27, 1997
IDS LIFE INSURANCE COMPANY
October 24, 1995 - May 27, 1997
AMERIPRISE FINANCIAL 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
Current Firm
P.J. ROBB VARIABLE, LLC
CRD#: 38339 / SEC#: , 8-48197
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CRUMP LIFE INSURANCE SERVICES, LLC | OWNER | |
| COLLINS, HEATHER MARIE | ASSISTANT TREASURER AND PRINCIPAL OPERATIONS OFFICER | 5851459 |
| CORDLE, COYE BAXTER III | CHIEF COMPLIANCE OFFICER, AML OFFICER & PRIVACY OFFICER | 4544954 |
| HARRISON, BRUCE ANDREW | PRESIDENT, CEO AND CHAIRMAN OF THE BOARD / DIRECTOR | 2232934 |
| MERCHANT, JEFFREY S | CHIIEF FINANCIAL OFFICER / TREASURER / PRINCIPAL FINANCIAL OFFICER / DIRECTOR | 4668892 |
| SCHUYLER, JOHN EDWIN | SECRETARY AND DIRECTOR | 1056044 |
| STAHLNECKER, ERIN ELIZABETH | ALTERNATE PRINCIPAL OPERATIONS OFFICER | 6606934 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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