Sam J. 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.
Sam Jack Swanson was a registered financial professional .
Sam is a previously registered financial professional and started their career in finance in 1970. Sam had worked at 3 firms and has passed the Series 63, Series 7TO, SIE 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 29, 1984 - April 23, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
December 11, 1972 - April 13, 2023
THE O.N. EQUITY SALES COMPANY
October 22, 1970 - December 29, 1972
METROPOLITAN LIFE INSURANCE COMPANY
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 10/15/1970
Registered Representative ExaminationCurrent Firm
INTEGRATED RESOURCES EQUITY CORPORATION
CRD#: 6403 / SEC#: , 8-15459
Contact information
Documents
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.
