Edward B. Swartout
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.
Edward Bruce Swartout, who also goes by Bruce Swartout, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1970. Edward had worked at 18 firms and has passed the Series 63, Series 55, Series 1, Series 24 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
July 16, 2012 - July 29, 2013
GLOBAL HUNTER SECURITIES, LLC
April 1, 2008 - October 3, 2011
SECURITY RESEARCH ASSOCIATES, INC.
February 5, 2007 - November 14, 2007
COWEN SECURITIES LLC
September 27, 2005 - February 5, 2007
RYAN BECK & CO.
January 10, 2005 - September 26, 2005
NATIXIS SECURITIES AMERICAS LLC
July 18, 2003 - January 3, 2005
BLAYLOCK & COMPANY, INC.
September 7, 2000 - July 9, 2003
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
February 8, 2000 - September 5, 2000
KNIGHT CAPITAL AMERICAS, L.P.
February 9, 1998 - October 1, 1999
KNIGHT CAPITAL AMERICAS, L.P.
April 21, 1993 - September 18, 1997
PERSHING LLC
February 23, 1988 - March 22, 1993
MONTGOMERY SECURITIES
September 17, 1986 - December 14, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
November 15, 1984 - October 16, 1986
PRUDENTIAL EQUITY GROUP, LLC
May 27, 1980 - November 9, 1984
DREXEL BURNHAM LAMBERT INCORPORATED
March 20, 1975 - September 16, 1986
E. F. HUTTON & COMPANY INC
March 21, 1974 - June 30, 1974
HANIFEN, IMHOFF INC.
August 11, 1972 - April 15, 1974
FUNDAMENTAL SERVICE CORPORATION
March 8, 1971 - August 11, 1972
FINANCIAL SERVICE CORPORATION OF AMERICA
February 25, 1970 - April 3, 1971
PIEDMONT CAPITAL CORPORATION
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 55
Date: 4/10/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 2/16/1970
Registered Representative ExaminationSeries 00
Date: 8/9/1972
General Securities Principal ExaminationCurrent Firm
GLOBAL HUNTER SECURITIES, LLC
CRD#: 123003 / SEC#: , 8-65552
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
