Christopher P. Swink
Professional summary
Christopher Paul Swink, who also goes by Chris Swink, is a registered financial professional currently at NORTHERN TRUST SECURITIES, INC. located in Tampa, Florida.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1998. Christopher has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher Paul Swink's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 12, 2023 - Present
NORTHERN TRUST SECURITIES, INC.
Office #1: 1001 Water Street Suite 900, Tampa, FL 33602October 23, 2013 - December 31, 2015
BNY MELLON SECURITIES CORPORATION
November 21, 2011 - October 1, 2013
TRUIST INVESTMENT SERVICES, INC.
November 8, 2011 - October 1, 2013
TRUIST INVESTMENT SERVICES, INC.
March 8, 2006 - November 7, 2011
WELLS FARGO CLEARING SERVICES, LLC
March 8, 2006 - November 7, 2011
WELLS FARGO CLEARING SERVICES, LLC
February 28, 2006 - February 28, 2006
WELLS FARGO CLEARING SERVICES, LLC
June 23, 2003 - February 27, 2006
WELLS FARGO CLEARING SERVICES, LLC
June 16, 2003 - February 27, 2006
WELLS FARGO CLEARING SERVICES, LLC
April 11, 2000 - May 9, 2003
CHASE INVESTMENT SERVICES CORP.
December 6, 1999 - May 9, 2003
CHASE INVESTMENT SERVICES CORP.
August 14, 1998 - July 23, 1999
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
NORTHERN TRUST SECURITIES, INC.
CRD#: 7927 / SEC#: 801-80781, 8-23689
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/23/2023)
(11/18/2024)
(11/18/2024)
Exams
Series 7TO
Date: 6/10/2023
General Securities Representative ExaminationFINRA
Current Firm
NORTHERN TRUST SECURITIES, INC.
CRD#: 7927 / SEC#: 801-80781, 8-23689
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NORTHERN TRUST CORPORATION | SHAREHOLDER | |
| BLOWERS, DAVID CHARLES | DIRECTOR | 4377133 |
| BURNS, RYAN DOUGLAS | DIRECTOR | 7427168 |
| CARBERRY, CRAIG RICHARD | SECRETARY | 2075889 |
| CHAPPELL, DARLENE | MLRO (ANTI-MONEY LAUNDERING OFFICER) | 8158928 |
| CHERRY, JON VINCENT | PRESIDENT | 4255568 |
| CHERRY, JON VINCENT | DIRECTOR | 4255568 |
| ELLIS, KATHERINE THERESE | DIRECTOR | 2519959 |
| GOFORTH, STEPHANIE ECKERT | DIRECTOR | 4348777 |
| PECCATIELLO, ANTHONY JOSEPH | CHIEF FINANCIAL OFFICER | 5716365 |
| PECCATIELLO, ANTHONY JOSEPH | CHIEF OPERATIONS OFFICER | 5716365 |
| PICKETT, MELANIE ZAIRIS | DIRECTOR | 3256748 |
| THOMAS, SUNITHA CHERIAN | DIRECTOR | 7881171 |
| THORNTON, MITCHELL BLAIR | DIRECTOR | 2515299 |
| WILLIAMS, AMANDA TAWNEY | CHIEF COMPLIANCE OFFICER | 4195897 |
Regulatory assets under management
| Total Number of Accounts | 2,283 |
| AUM (Assets Under Management) | $ 1,276,929,981 |
Disclosures
| Regulatory Event | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 09/25/2024 | ||
| 08/23/2023 |
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.
