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LS

Lewis E. Swayze

Some features on this profile are disabled
CRD#: 440970
LS

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.

Lewis Edward Swayze was a registered financial professional .

Lewis is a previously registered financial professional and started their career in finance in 1968. Lewis had worked at 11 firms and has passed the Series 1 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 25, 1986 - November 16, 1987

PFG SECURITIES, INC.

BD
CRD#: 15401
Past

February 27, 1985 - February 19, 1986

CARDELL & ASSOCIATES, INCORPORATED

BD
CRD#: 7700
Past

July 6, 1983 - March 4, 1985

WZW FINANCIAL SERVICES, INC.

BD
CRD#: 5717
Past

June 11, 1975 - July 5, 1983

CORNERSTONE FINANCIAL SERVICES, INC.

BD
CRD#: 953
Past

November 5, 1974 - December 6, 1975

MARQUAM CAPITAL CORPORATION

BD
CRD#: 5669
Past

January 8, 1974 - November 15, 1974

DONALD C SLOAN COMPANY

BD
CRD#: 1000007
Past

November 7, 1973 - February 21, 1974

MARQUAM CAPITAL CORPORATION

BD
CRD#: 5669
Past

April 25, 1973 - December 7, 1973

DONALD C SLOAN CO

BD
CRD#: 1000005
Past

March 23, 1972 - May 30, 1973

GEO. GEIST CO.

BD
CRD#: 1973
Past

November 19, 1971 - April 24, 1972

INTERPACIFIC INVESTORS SERVICES, INC.

BD
CRD#: 4879
Past

July 1, 1971 - December 8, 1971

SWANTON SECURITIES, INC.

BD
CRD#: 5823
Past

September 18, 1968 - July 11, 1971

MFB SECURITIES, INC

BD
CRD#: 603

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 1
Date: 9/13/1968
Registered Representative Examination

Current Firm

PS
PFG SECURITIES, INC.
PFG SECURITIES, INC.

CRD#: 15401 / SEC#: , 8-32122

BD
Terminated by FINRA on 09/05/1989
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Contact information

Main Address
Mailing Address
Phone number
Established
Washington since 10/22/1984
Firm type
Corporation
Fiscal year end
# of Employees

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.

Company Information

PFG SECURITIES, INC.

CRD#: 15401

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