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DS

David J. Swiat

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CRD#: 4470758
DS

Professional summary

David James Swiat was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, David had worked at 1 firm, which includes OLMSTED & MULHALL INC..

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

December 4, 2001 - June 16, 2004

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

State Security Law Exam
RR
Series 63
Date: 12/18/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/3/2001
General Securities Representative 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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