William M. Swayne
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.
William Madison Swayne, CFP®, who also goes by William Madison Swayne II, William Madison Swayne, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1972. William had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 1 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1985
Experience
June 17, 2019 - December 21, 2020
CABOT LODGE SECURITIES LLC
March 25, 2019 - December 31, 2020
COLONY PARK FINANCIAL SERVICES LLC.
September 18, 2018 - May 22, 2019
SANDLAPPER SECURITIES, LLC
January 23, 2018 - September 13, 2018
EMERSON EQUITY LLC
February 17, 2012 - December 31, 2017
INDEPENDENT FINANCIAL GROUP, LLC
February 10, 2012 - December 31, 2017
INDEPENDENT FINANCIAL GROUP, LLC
December 27, 1995 - February 10, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
November 27, 1995 - February 10, 2012
PACIFIC WEST SECURITIES, INC.
July 15, 1991 - November 22, 1995
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 2, 1989 - July 15, 1991
FEDERATION FOR FINANCIAL INDEPENDENCE
March 1, 1989 - March 22, 1989
CAREY JAMISON & COMPANY
September 20, 1984 - April 25, 1989
SOURCE SECURITIES, INC.
November 15, 1976 - October 5, 1984
GREEN HILL FINANCIAL SERVICE CORPORATION
March 20, 1972 - August 19, 1976
VP DISTRIBUTORS LLC
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 1
Date: 3/14/1972
Registered Representative ExaminationCurrent Firm
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
