Robert A. 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.
Robert Austin Swan JR, who also goes by Bob Swan Jr, Bobby Swan, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1981. Robert had worked at 4 firms and has passed the Series 65, Series 63, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2019 - May 17, 2024
AE WEALTH MANAGEMENT, LLC
May 26, 2017 - January 29, 2019
BROOKSTONE CAPITAL MANAGEMENT LLC
December 19, 2006 - May 23, 2008
NYLIFE SECURITIES LLC
July 20, 1984 - October 4, 1990
NYLIFE SECURITIES LLC
November 2, 1981 - July 31, 1984
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
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: 11/2/1973
Registered Representative ExaminationCurrent Firm
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,059 |
| AUM (Assets Under Management) | $ 37,525,706,084 |
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.
