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TS

Theodore J. Swedock

Some features on this profile are disabled
CRD#: 441018
TS

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 Joseph Swedock was a registered financial professional .

Theodore is a previously registered financial professional and started their career in finance in 1970. Theodore had worked at 8 firms and has passed the Series 1 and Series 40 exams.

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

June 12, 2008 - January 25, 2013

POWDER POINT FINANCIAL LLC

BD
CRD#: 145199
MARSHFIELD, MA
Past

January 18, 2006 - March 2, 2007

MAGNA

BD
CRD#: 30935
NEW YORK, NY
Past

March 17, 1993 - January 2, 2004

EACM SECURITIES INC.

BD
CRD#: 19298
NORWALK, CT
Past

September 11, 1990 - March 6, 1993

AMG DISTRIBUTORS, INC.

BD
CRD#: 27314
STAMFORD, CT
Past

December 21, 1989 - September 11, 1990

EVALUATION ASSOCIATES SECURITIES CO., INC.

BD
CRD#: 19233
Past

March 26, 1986 - December 19, 1987

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829
NEW YORK, NY
Past

January 3, 1978 - October 4, 1985

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
Past

September 3, 1970 - May 3, 1978

HOPPIN, WATSON, INC.

BD
CRD#: 410

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: 7/15/1966
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 40
Date: 6/8/1978
Registered Principal Examination

Current Firm

PP
POWDER POINT FINANCIAL LLC
POWDER POINT FINANCIAL LLC

CRD#: 145199 / SEC#: , 8-67715

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
61 Ridge Road, Marshfield, MA 02050
Mailing Address
61 Ridge Road, Marshfield, MA 02050
Phone number
(781) 264-6045
Established
Massachusetts since 02/26/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
KELLY, MARJORIE ANNPRESIDENT, CEO, CFO, COO, CCO, MEMBER1230785

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

POWDER POINT FINANCIAL LLC

CRD#: 145199

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