Gary S. Swiman
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.
Gary Steven Swiman, who also goes by Gary S Swiman, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1995. Gary had worked at 5 firms and has passed the Series 65, Series 63, Series 3, Series 55, Series 7, Series 27, Series 53, Series 14, Series 4, Series 8 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 18, 2007 - April 14, 2008
FORESIDE FUND SERVICES, LLC
December 5, 2006 - July 20, 2007
EVERCORE GROUP L.L.C.
December 14, 2000 - November 7, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 1998 - November 2, 2000
NOMURA SECURITIES INTERNATIONAL, INC.
July 23, 1997 - January 26, 1998
CITIGROUP GLOBAL MARKETS INC.
November 17, 1995 - July 8, 1997
NOMURA SECURITIES INTERNATIONAL, 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
Series 55
Date: 5/4/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 8/28/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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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