Timothy J. Swanson
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.
Timothy Jay Swanson, who also goes by Timothy Jay Swanson, Timothy Swanson, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2000. Timothy had worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 6, Series 10, Series 9 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
August 25, 2022 - July 28, 2023
SAFRA SECURITIES LLC
February 17, 2017 - May 2, 2022
WELLS FARGO CLEARING SERVICES, LLC
February 15, 2017 - May 2, 2022
WELLS FARGO CLEARING SERVICES, LLC
March 21, 2014 - March 23, 2016
CITIZENS SECURITIES, INC.
October 31, 2013 - March 23, 2016
CITIZENS SECURITIES, INC.
June 21, 2012 - July 25, 2012
J.P. MORGAN SECURITIES LLC
October 1, 2008 - May 15, 2012
J.P. MORGAN SECURITIES LLC
October 1, 2008 - July 25, 2012
J.P. MORGAN SECURITIES LLC
September 27, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
July 1, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
September 9, 2002 - September 27, 2006
BANC ONE SECURITIES CORPORATION
December 15, 2000 - July 1, 2006
BANC ONE SECURITIES CORPORATION
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
SAFRA SECURITIES LLC
CRD#: 47873 / SEC#: , 8-51935
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAFRA NATIONAL BANK OF NEW YORK | SOLE SHAREHOLDER | |
| BONFIM, CARLOS CESAR BERTACO | DIRECTOR | |
| COLOMBO, RAFAELO | DIRECTOR | 6054935 |
| DIBIASI, ANTHONY | FINOP | 6435706 |
| GRUNWALD, MARK STEVEN | DIRECTOR & PRESIDENT | 3262204 |
| JAVIER, SIGMUND PETER | DIRECTOR | 6002619 |
| MCCARTHY, GERARD THOMAS | CHIEF COMPLIANCE OFFICER | 3121615 |
| MORATO, SIMONI PASSOS | DIRECTOR | 5568481 |
| OSWALD, THOMAS FRANCIS | CHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER | 1828798 |
| YOU, SANG MIN JIMMY | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 6693855 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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