Earl J. 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.
Earl John Swan III, who also goes by Earl John Swan, was a registered financial professional .
Earl is a previously registered financial professional and started their career in finance in 1967. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2000 - November 8, 2000
PROTRADER SECURITIES L.P.
April 10, 2000 - June 21, 2000
J. P. GIBBONS & CO., INC.
January 4, 2000 - February 9, 2000
SALOMON GREY FINANCIAL CORPORATION
July 27, 1999 - January 3, 2000
BERKSHIRE SECURITIES, INC.
September 9, 1997 - June 30, 1999
J. P. GIBBONS & CO., INC.
December 12, 1996 - July 7, 1997
J. P. GIBBONS & CO., INC.
October 20, 1995 - September 20, 1996
JANNEY MONTGOMERY SCOTT LLC
June 1, 1995 - October 18, 1995
JOSEPHTHAL & CO., INC.
June 28, 1993 - March 13, 1995
EDWARD JONES
March 8, 1993 - September 1, 1993
SPELMAN & CO., INC.
May 2, 1988 - May 10, 1991
MORGAN STANLEY DW INC.
August 4, 1983 - May 12, 1988
UBS FINANCIAL SERVICES INC.
February 23, 1978 - August 22, 1983
ADVEST, INC.
October 18, 1973 - February 25, 1978
CITIGROUP GLOBAL MARKETS INC.
October 17, 1972 - November 29, 1973
BLYTH EASTMAN DILLON & CO. INCORPORATED
April 7, 1970 - November 23, 1972
BACHE & CO INCORPORATED
August 4, 1967 - January 30, 1984
ADVEST, 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
PC
Date: 2/9/1978
AMEX Put and Call ExamSeries 000
Date: 8/4/1967
General Securities Principal ExaminationSeries 1
Date: 8/4/1967
Registered Representative ExaminationSeries 12
Date: 7/24/1975
NYSE Branch Manager ExaminationSeries 40
Date: 4/21/1975
Registered Principal ExaminationCurrent Firm
PROTRADER SECURITIES L.P.
CRD#: 35233 / SEC#: , 8-46785
Contact information
Documents
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 | 4 |
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.
