Leland C. 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.
Leland Charles Swift, who also goes by Lee Swift, was a registered financial professional .
Leland is a previously registered financial professional and started their career in finance in 1971. Leland had worked at 18 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 1995 - April 30, 1999
PACIFIC CORTEZ SECURITIES INCORPORATED
July 28, 1994 - January 31, 1995
J. A. OVERTON & CO., INC.
September 4, 1992 - July 22, 1994
LAM WAGNER, INC.
March 11, 1991 - September 29, 1992
CENTEX SECURITIES, INCORPORATED
January 31, 1991 - March 6, 1991
THOMAS GREEN SECURITIES, INC.
September 11, 1989 - December 14, 1990
REMINGTON SECURITIES, INC.
December 14, 1988 - September 12, 1989
TRADEMARK INVESTMENT SERVICES, INC.
January 31, 1987 - September 12, 1989
TRADEMARK INVESTMENT SERVICES, INC.
June 6, 1986 - February 4, 1987
CROWELL, WEEDON & CO.
August 8, 1985 - June 16, 1986
MCKEWON & TIMMINS
January 16, 1984 - July 19, 1985
NEWHARD, COOK & CO. INCORPORATED
February 11, 1981 - January 25, 1984
RAUSCHER PIERCE REFSNES, INC.
January 31, 1980 - March 9, 1981
UBS FINANCIAL SERVICES INC.
October 4, 1978 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
February 24, 1978 - October 26, 1978
MORGAN STANLEY DW INC.
March 2, 1976 - February 24, 1978
REYNOLDS SECURITIES, INC.
October 5, 1973 - July 14, 1974
ROBERTS, SCOTT & CO., INC.
November 19, 1971 - November 30, 1973
FIRST CALIFORNIA COMPANY, INCORPORATED
June 22, 1971 - January 2, 1972
F I DUPONT GLORE FORGAN & CO
April 7, 1971 - May 26, 1971
FIRST CALIFORNIA COMPANY, INCORPORATED
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: 8/19/1968
Registered Representative ExaminationCurrent Firm
PACIFIC CORTEZ SECURITIES INCORPORATED
CRD#: 24341 / SEC#: , 8-38514
Contact information
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.
