Kenneth R. Swan
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.
Kenneth Russell Swan JR., who also goes by Swan Ken Jr., Ken Swan, Kenneth Russell Swan, Kenneth Swan Jr, Kenneth Swan, Kenny Swan, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 2000. Kenneth had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 21, Series 25, Series 27 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2012 - July 15, 2024
ADP BROKER-DEALER, INC.
April 16, 2009 - April 1, 2011
SECURIAN FINANCIAL SERVICES, INC.
March 13, 2009 - April 1, 2011
SECURIAN FINANCIAL SERVICES, INC.
January 14, 2008 - March 19, 2008
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
March 14, 2002 - March 19, 2008
REDI GLOBAL TECHNOLOGIES LLC
October 1, 2000 - March 18, 2002
REDI GLOBAL TECHNOLOGIES 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
Exams
Series 55
Date: 3/17/2008
Limited Representative-Equity Trader ExamSeries 21
Date: 1/27/2000
NYSE Front Line Specialist ClerkSeries 25
Date: 7/7/1999
NYSE Trading Assistant ExaminationCurrent Firm
ADP BROKER-DEALER, INC.
CRD#: 37693 / SEC#: , 8-47885
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADP ATLANTIC, LLC | SHAREHOLDER | |
| BARRENECHEA, PATRICIA MARGOT | FINOP | 1715189 |
| BLAKE, JAMES PATRICK | PRESIDENT, DIRECTOR | 3078844 |
| BOYLE, JAMES RICHARD | AML OFFICER | 3137180 |
| DOSPASSOS-KRIEG, KRISTIN ANNE | DIRECTOR | 3079254 |
| HANLEY, JUANITA DAVIDA | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5217439 |
| HODGES, JEFFRY AARON | DIRECTOR | 5865575 |
| HUREAU, MICHAEL RAY | DIRECTOR | 5990787 |
| MCCUE, TERRANCE | RISK MANAGEMENT OFFICER | 7259942 |
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.
