Charles S. Swanson
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.
Charles Sanford Swanson, who also goes by Charlie Swanson, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1974. Charles had worked at 11 firms and has passed the Series 63, SIE, Series 6, Series 1, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2016 - November 6, 2018
INVESTACORP, INC.
July 9, 2008 - December 31, 2009
OSAIC FS, INC.
April 17, 2006 - July 20, 2006
WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.
June 15, 2002 - April 3, 2006
WELLS FARGO CLEARING SERVICES, LLC
February 14, 2000 - June 15, 2002
WACHOVIA SECURITIES, INC.
February 12, 1998 - February 14, 2000
WACHOVIA BROKERAGE SERVICE
August 26, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 26, 1996 - December 16, 1997
SIGNATOR INVESTORS, INC.
June 19, 1984 - June 18, 1996
MML INVESTORS SERVICES, LLC
October 20, 1980 - June 6, 1984
EQUITABLE ADVISORS, LLC
February 13, 1974 - June 6, 1984
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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: 2/4/1974
Registered Representative ExaminationCurrent Firm
INVESTACORP, INC.
CRD#: 7684 / SEC#: , 8-22598
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| ARNEAUD, MARCUS ANTHONY | CHIEF COMPLIANCE OFFICER | 2858859 |
| BLANCATO, PHILIP SALVATORE | DIRECTOR | 2122221 |
| CHANDER, RANA | EXECUTIVE VICE PRESIDENT, CIO | 4853245 |
| DUDAS, STEPHEN STANLEY | CFO | 4820047 |
| FARRELL, PATRICK CHRISTOPHER | DIRECTOR,PRESIDENT, CEO | 1454441 |
| GIOVANNIELLO, JOSEPH JR | DIRECTOR, ASSISTANT SECRETARY | 3086071 |
| MCKENNA, NINA | SECRETARY | 6302448 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| TARENTINO, MELISSA | GENERAL COUNSEL | 4470836 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
| Bond | 2 |
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.
