John W. Szwagulak
Professional summary
John W Szwagulak III, who also goes by John W Szwagulak, John Szwagulak, is a registered financial professional currently at HUNTINGTON SECURITIES, INC. located in Cleveland, Ohio.
John is registered as a RR (Registered Representative) and started their career in finance in 1999. John has worked at 7 firms and has passed the Series 66, Series 99TO, Series 52TO, Series 57TO, Series 79TO, SIE, Series 3, Series 55, Series 7, Series 14, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John W Szwagulak III's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 23, 2019 - Present
HUNTINGTON SECURITIES, INC.
Office #1: 200 Public Square 6th Floor, Cleveland, OH 44114July 15, 2016 - February 24, 2020
THE HUNTINGTON INVESTMENT COMPANY
June 19, 2014 - July 19, 2016
WELLS FARGO SECURITIES, LLC
November 1, 2010 - June 3, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 21, 2007 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
July 28, 2003 - July 10, 2007
KEYBANC CAPITAL MARKETS INC.
November 24, 1999 - January 18, 2001
MORGAN STANLEY DW 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
(10/23/2019)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 5/25/2006
Limited Representative-Equity Trader ExamFINRA
Current Firm
HUNTINGTON SECURITIES, INC.
CRD#: 2261 / SEC#: , 8-5761
Contact information
FINRA licenses (29 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUNTINGTON BANCSHARES INCORPORATED | DIRECT OWNER | |
| BEEKMAN, TODD ANDREW | DIRECTOR | 6291198 |
| BORRELLI, MARK ROBERT | GENERAL COUNSEL/SECRETARY | 6803711 |
| COSTANZO, SAMANTHA ANN | DIRECTOR | 4133695 |
| DIBOWSKI, TERRA | HEAD OF BROKERAGE OPERATIONS | 5468840 |
| FITZSIMMONS, DAVID RAYMOND | HEAD OF INSTITUTIONAL SALES & TRADING, DIRECTOR | 4245434 |
| HERBERT, KATHERINE ELEANOR | CONTROLLER/FINOP | 6412263 |
| KLEINMAN, SCOTT DAVID | DIRECTOR | 2357636 |
| MILCETICH, MATTHEW LOUIS | PRESIDENT | 6419334 |
| SZWAGULAK, JOHN W III | CHIEF COMPLIANCE OFFICER | 4033023 |
| WALTHER, KATHLEEN | DIRECTOR | 7858303 |
Disclosures
| Regulatory Event | 8 |
Red Flags
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