Earl John Swan Iii
Professional Summary
Earl John Swan III, who also goes by Earl John Swan, was a registered financial advisor. Earl was a previously registered financial professional and started their career in finance 1967 - 2000. Earl had worked at 14 firms and has passed the Series 63, Series 3, PC, Series 000, Series 1, Series 4, Series 12 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Earl John Swan
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
59 years in the financial services industry
Current & Past Employments
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Current Firm
CORNERSTONE SECURITIES CORPORATION | PROTRADER SECURITIES, L.P. | PROTRADER SECURITIES L.P. | PROTRADER SECURITIES CORPORATION
Contact Information
Established
Texas since 02/05/2002Firm Type
Other Types of Legal FormationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSTINET GLOBAL HOLDINGS INC. | SHAREHOLDER | — |
| BALDERACH, STEFAN SHANE | SENIOR REGISTERED OPTIONS PRINCIPAL AND CHIEF COMPLIANCE OFFICER | 3102279 |
| CHRISTIE, JOEL ALAN | MUNICIPAL PRINCIPAL | 2740765 |
| HICKS, KIMBERLY ANN | CHIEF EXECUTIVE OFFICER | 3004984 |
| HOWARD, CRAIG STEWART | PRESIDENT, ADVERTISING PRINCIPAL AND CHIEF SUPERVISORY OFFICER | 1627266 |
| PIERCE, THOMAS WALKER | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | 2888289 |
| WILSON, CHRISTOPHER THOMAS | DIRECTOR OF CLIENT/TRADER DEVELOPMENT | 2208379 |
| YEAGER, DAVID SCOTT | FINANCIAL AND OPERATIONS PRINCIPAL | 4146568 |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Feb 1978Series 000 — General Securities Principal Examination
Passed Aug 1967Series 1 — Registered Representative Examination
Passed Aug 1967Series 12 — NYSE Branch Manager Examination
Passed Jul 1975Series 40 — Registered Principal Examination
Passed Apr 1975Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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