Erik A. Swanson
Professional summary
Erik Andrew Swanson is a registered financial professional currently at COMMERCE BROKERAGE SERVICES, INC. located in St Louis, Missouri and L.J. HART AND COMPANY located in St. Louis, Missouri.
Erik is registered as a RR (Registered Representative) and started their career in finance in 2000. Erik has worked at 6 firms and has passed the Series 63, Series 65, Series 99TO, Series 52, Series 55, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Erik Andrew Swanson's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 7, 2019 - Present
COMMERCE BROKERAGE SERVICES, INC.
Office #1: 8001 Forsyth Blvd, St Louis, MO 63105June 5, 2023 - Present
L.J. HART AND COMPANY
Office #1: 8001 Forsyth Blvd, St. Louis, MO 63105April 14, 2011 - July 12, 2013
COMMERCE BROKERAGE SERVICES, INC.
April 5, 2007 - June 20, 2008
UBS SECURITIES LLC
March 16, 2006 - April 12, 2007
SAYBROOK ADVISORS, LLC
January 26, 2006 - April 12, 2007
SAYBROOK CAPITAL CORPORATION
October 28, 2003 - May 13, 2005
UBS SECURITIES LLC
June 8, 2000 - July 2, 2001
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/5/2019)
(11/19/2019)
(2/8/2023)
(12/10/2019)
Exams
Series 99TO
Date: 1/27/2023
Operations Professional ExaminationSeries 55
Date: 2/3/2001
Limited Representative-Equity Trader ExamFINRA
Current Firm
L.J. HART AND COMPANY
CRD#: 28867 / SEC#: , 8-43976
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERCE BANK | SOLE STOCKHOLDER | |
| HARMON, THOMAS DARIN | CHAIRMAN | 7787415 |
| PISARKIEWICZ, THOMAS JOHN | PRESIDENT/CEO/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/TREASURER | 5173363 |
| REECE, JOSEPH STEVEN | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 2227282 |
| ROWE, MARGARET MCSHANE | CORPORATE SECRETARY / GENERAL COUNSEL | 7576973 |
| SWANSON, ERIK ANDREW | EXECUTIVE VICE PRESIDENT | 4170204 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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Company Information
L.J. HART AND COMPANY
CRD#: 28867St Louis, MO 63105TRUST BUT VERIFY
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