Scott J. Swain
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.
Scott Jeffrey Swain, CFP® was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2000. Scott had worked at 2 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2010
Experience
May 1, 2008 - December 31, 2017
NEW PARAGON, LLC
October 19, 2000 - August 19, 2003
CHARLES SCHWAB & CO., INC.
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
NEW PARAGON, LLC
CRD#: 110039 / SEC#: 801-54375
Contact information
Regulatory assets under management
| Total Number of Accounts | 83 |
| AUM (Assets Under Management) | $ 1,004,911,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2023 | ||
| 12/22/2022 | ||
| 11/24/2021 |
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.
