Theodore Marshall Swartwood
Professional Summary
Theodore Marshall Swartwood, who also goes by T Marshall Swartwood, was a registered financial advisor. Theodore was a previously registered financial professional and started their career in finance 1969 - 1997. Theodore had worked at 5 firms and has passed the SIE, Series 1 and Series 00 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
T Marshall Swartwood
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
65 years in the financial services industry
Current & Past Employments
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Current Firm
DICKINSON & CO. | R. G. DICKINSON & CO.
Contact Information
Established
Iowa since 04/02/1959Firm Type
CorporationFiscal Year End
DecemberDocuments
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Mar 1961Series 00 — General Securities Principal Examination
Passed Jul 1969Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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