Robert E. Swain
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.
Robert Earl Swain was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 5 firms and has passed the Series 1, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 1985 - October 21, 1987
HILLSBOROUGH CAPITAL CORPORATION
April 4, 1977 - July 13, 1983
CROWN FINANCIAL CORPORATION
July 7, 1976 - April 2, 1977
EQUITY SERVICES, INC.
January 28, 1972 - July 14, 1974
CANACCORD GENUITY LLC
May 1, 1970 - February 26, 1972
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Exams
Series 1
Date: 4/24/1970
Registered Representative ExaminationF04
Date: 2/26/1977
Financial Principal ExaminationSeries 40
Date: 5/16/1972
Registered Principal ExaminationCurrent Firm
HILLSBOROUGH CAPITAL CORPORATION
CRD#: 15939 / SEC#: , 8-32977
Contact information
Documents
Red Flags
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