John J. Swiess
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 Joseph Swiess 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 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2020 - November 25, 2025
SPC
January 2, 2014 - March 29, 2018
GLOBAL VIEW CAPITAL MANAGEMENT LLC
March 9, 2011 - December 31, 2013
THE STRATEGIC FINANCIAL ALLIANCE, INC.
March 9, 2011 - December 31, 2013
THE STRATEGIC FINANCIAL ALLIANCE, INC.
March 8, 2007 - March 2, 2011
INVESTMENT ADVISORS INTERNATIONAL, INC.
April 12, 2002 - March 2, 2011
WORLD GROUP SECURITIES, INC.
July 8, 1999 - April 12, 2002
WMA SECURITIES, INC.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
