Ronald B. Mcswain
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.
Ronald Burton Mcswain, who also goes by Ron Mcswain, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1971. Ronald had worked at 8 firms and has passed the Series 63, Series 5 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 1999 - July 12, 2005
FHN FINANCIAL SECURITIES CORP.
June 12, 1990 - January 30, 1991
FIRST FUNDS, INC.
May 16, 1989 - March 3, 1990
CORNERSTONE SECURITIES, INC.
October 3, 1988 - February 15, 1989
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
April 20, 1978 - October 3, 1988
UMIC, INC.
September 22, 1976 - April 18, 1978
MARCUS, STOWELL & BEYE, INC.
July 2, 1974 - September 19, 1976
F. L. LAWRENCE & COMPANY, INC.
October 13, 1971 - April 27, 1973
SELLERS INVESTMENT COMPANY, INCORPORATED
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 5
Date: 9/13/1982
Interest Rate Options ExaminationSeries 00
Date: 9/10/1971
General Securities Principal ExaminationCurrent Firm
FHN FINANCIAL SECURITIES CORP.
CRD#: 46346 / SEC#: , 8-51393
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HORIZON BANK | SHAREHOLDER | |
| BUCK, WILLIAM JAMES II | PRINCIPAL OPERATING OFFICER | 3129662 |
| DABROWSKI, MARK GERARD | CHIEF COMPLIANCE OFFICER | 2065647 |
| GRIFFIN, MARK DANIEL | SVP, RISK CONTROL MANAGER | 7462222 |
| JACKSON, JEFF BRIAN | SVP/ TRADING MANAGER | 2777631 |
| RITCHESON, DONALD ALLEN | PRINCIPAL FINANCIAL OFFICER / CFO | 2360009 |
| ROMANOW, TIMOTHY MARK | PRESIDENT/CEO | 2533445 |
| WADDELL, MICHAEL KNOX | EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 5657529 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
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