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LS

Leo A. Swiat

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CRD#: 441285
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.

Leo Albert Swiat was a registered financial professional .

Leo is a previously registered financial professional and started their career in finance in 1968. Leo had worked at 1 firm and has passed the SIE and Series 00 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 7, 1968 - October 13, 2014

OLMSTED & MULHALL, INC.

BD
CRD#: 2948
KALAMAZOO, MI

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
SIE
Date: 10/13/2014
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 00
Date: 5/23/1968
General Securities Principal Examination

Current Firm

O&
OLMSTED & MULHALL, INC.
OLMSTED & MULHALL, INC.

CRD#: 2948 / SEC#: , 8-593

BD
Terminated by SEC on 02/02/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Michigan since 04/03/1920
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SWIAT, THOMAS LEO JRPRESIDENT/RR/GP/CCO/LIMITED MUNI1039375
SAMPSON, AARON SNYDERCHIEF FINANCIAL OFFICER2147352

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

OLMSTED & MULHALL, INC.

CRD#: 2948

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