Elaine D. Swetland
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.
Elaine Darras Swetland, who also goes by Elaine Darras, Mary Elaine Darras, Mary D Swetland, was a registered financial professional .
Elaine is a previously registered financial professional and started their career in finance in 1998. Elaine had worked at 10 firms and has passed the Series 63, Series 7, Series 6 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
July 24, 2013 - July 1, 2014
STATE FARM VP MANAGEMENT CORP.
August 27, 2009 - May 30, 2012
SWBC INVESTMENT SERVICES, LLC
April 10, 2008 - August 27, 2009
KESTRA INVESTMENT SERVICES, LLC
February 28, 2006 - April 14, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
February 25, 2005 - February 28, 2006
TRUSTMARK SECURITIES, INC.
December 18, 2003 - November 18, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 11, 2003 - October 31, 2003
STATE FARM VP MANAGEMENT CORP.
October 10, 2001 - November 5, 2002
ESSEX NATIONAL SECURITIES, LLC
November 30, 1999 - August 27, 2001
HANCOCK WHITNEY INVESTMENT SERVICES INC.
July 20, 1998 - December 21, 1999
CAPITAL BROKERAGE CORPORATION
January 2, 1998 - July 6, 1998
MONY SECURITIES CORPORATION
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
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
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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