Gleason F. Swassing
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.
Gleason Franklin Swassing III, who also goes by Frank Gleason Swassing, Frank Swassing, was a registered financial professional .
Gleason is a previously registered financial professional and started their career in finance in 2000. Gleason had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2018 - January 4, 2019
3 PEAKS FINANCIAL
October 18, 2007 - November 26, 2018
LPL FINANCIAL LLC
July 9, 2004 - November 26, 2018
LPL FINANCIAL LLC
January 2, 2000 - July 14, 2004
EDWARD JONES
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
3 PEAKS FINANCIAL
CRD#: 296817 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 463 |
| AUM (Assets Under Management) | $ 49,421,333 |
Red Flags
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