Roger W. 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.
Roger Whitten Swanson was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1955. Roger had worked at 10 firms and has passed the Series 63, SIE and PC exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2014 - December 26, 2018
VAN CLEMENS & CO. INCORPORATED
April 11, 2008 - September 19, 2014
FELTL & COMPANY
March 2, 1998 - April 22, 2008
RBC CAPITAL MARKETS, LLC
February 11, 1992 - March 2, 1998
DAIN RAUSCHER INCORPORATED
February 24, 1984 - February 10, 1992
MORGAN STANLEY DW INC.
March 5, 1982 - February 13, 1984
E. F. HUTTON & COMPANY INC
January 31, 1980 - January 29, 1982
UBS FINANCIAL SERVICES INC.
July 3, 1974 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
May 17, 1974 - July 26, 1974
CLARK, DODGE & CO., INCORPORATED
January 28, 1955 - June 6, 1974
PIPER SANDLER & CO.
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: 9/2/1977
AMEX Put and Call ExamCurrent Firm
VAN CLEMENS & CO. INCORPORATED
CRD#: 6914 / SEC#: , 8-18414
Contact information
FINRA licenses (40 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
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