Harold J. Swart
Professional summary
Harold James Swart JR was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Harold is a previously registered financial advisor and started their career in finance in 1997. Prior to being barred, Harold had worked at 3 firms, which includes NEW ENGLAND SECURITIES, THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2001 - October 13, 2009
NEW ENGLAND SECURITIES
March 27, 2001 - October 13, 2009
NEW ENGLAND SECURITIES
July 23, 1997 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 23, 1997 - March 9, 2001
EQUITABLE ADVISORS, 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
NEW ENGLAND SECURITIES
CRD#: 615 / SEC#: 801-47061, 8-13910
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW ENGLAND LIFE INSURANCE COMPANY ("NELICO" OR "NEW ENGLAND FINANCIAL") | 100% SHAREHOLDER | |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| CRUZ, ORLANDO RAFAEL JR | PRESIDENT AND CHAIRMAN | 2311194 |
| FORGET, ELIZABETH MARY | DIRECTOR AND CHAIRMAN | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, BROKER-DEALER | 2899327 |
| HONKUS, TINA MARIE | VICE-PRESIDENT, LICENSING AND REGISTRATION | 1288648 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | 2210722 |
| MINK, DAVID MYERS | CHIEF OPERATIONS OFFICER | 2606831 |
| MURPHY, SEAN ANDREW | VICE-PRESIDENT | 1963911 |
| REYNOLDS, TYLA LYNN | SECRETARY | 6318828 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 10 |
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