Pauliina Swartz
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.
Pauliina Swartz, who also goes by Pauliina Girsen, was a registered financial professional .
Pauliina is a previously registered financial professional and started their career in finance in 2003. Pauliina had worked at 2 firms and has passed the Series 63, Series 7TO, SIE, Series 7 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
September 18, 2018 - December 31, 2020
BEQUIA SECURITIES, LLC
January 30, 2003 - July 9, 2009
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
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 7TO
Date: 12/16/2022
General Securities Representative ExaminationCurrent Firm
BEQUIA SECURITIES, LLC
CRD#: 285783 / SEC#: , 8-69860
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEQUIA CAPITAL, LLC | MEMBER | |
| DORFMAN, ESTEE CARLA | FINOP, CFO | 2696529 |
| SLACHTA, LARA ANN | CEO, CCO, EXEC REP. |
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.
