Theodore M. Swartwood
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.
Theodore Marshall Swartwood, who also goes by T Marshall Swartwood, was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1969. Theodore had worked at 5 firms and has passed the SIE, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 1991 - February 27, 1997
DICKINSON & CO.
April 13, 1981 - July 13, 2018
SWARTWOOD, HESSE INC.
February 11, 1981 - May 17, 1981
INVEMED ASSOCIATES LLC
May 12, 1980 - February 8, 1981
SWANTON SECURITIES, INC.
March 19, 1979 - May 28, 1980
INVEMED ASSOCIATES LLC
July 30, 1969 - March 1, 1979
FAHERTY & FAHERTY INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 3/24/1961
Registered Representative ExaminationSeries 00
Date: 7/7/1969
General Securities Principal ExaminationCurrent Firm
DICKINSON & CO.
CRD#: 689 / SEC#: , 8-7503
Contact information
Documents
Red Flags
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