Brian G. Swift
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.
Brian Garner Swift was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1970. Brian had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 41, Series 16, Series 1 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
May 13, 2019 - October 14, 2019
SUTTER CAPITAL PARTNERS, LLC
November 14, 2018 - October 14, 2019
BOUSTEAD SECURITIES, LLC
March 24, 2016 - October 14, 2019
SUTTER SECURITIES INCORPORATED
June 15, 2010 - January 11, 2020
SRA CAPITAL MANAGEMENT LLC
June 21, 1989 - March 11, 2016
SECURITY RESEARCH ASSOCIATES, INC.
May 8, 1982 - June 6, 1989
HENRY F. SWIFT & CO.
June 26, 1979 - April 8, 1982
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
February 17, 1976 - March 31, 1979
HENRY F. SWIFT & CO.
July 30, 1973 - February 28, 1976
SAN FRANCISCO INVESTMENT CORPORATION
September 16, 1970 - September 2, 1973
MCDONALD & MILLER SECURITIES INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 3/27/2000
Limited Representative-Equity Trader ExamSeries 41
Date: 7/28/1977
NYSE Allied Member ExaminationSeries 1
Date: 2/13/1969
Registered Representative ExaminationSeries 00
Date: 12/21/1972
General Securities Principal ExaminationCurrent Firm
SUTTER CAPITAL PARTNERS, LLC
CRD#: 288442 / SEC#:
Contact information
Red Flags
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