John C. Swift
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.
John Colquhoun Swift, who also goes by Jack Swift, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1999. John had worked at 6 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, 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
April 28, 2022 - November 8, 2023
TIFIN DISTRIBUTION PARTNERS
June 8, 2016 - September 20, 2019
CRESTONE SECURITIES LLC
January 3, 2012 - May 5, 2016
PACIFIC CURRENT GROUP
February 6, 2008 - August 30, 2012
ALPS DISTRIBUTORS, INC.
October 31, 2002 - September 10, 2007
JANUS HENDERSON DISTRIBUTORS US LLC
March 30, 1999 - October 28, 2002
BERGER DISTRIBUTORS 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
TIFIN DISTRIBUTION PARTNERS
CRD#: 315754 / SEC#: , 8-70782
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.
