Sean C. Swanson
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.
Sean Christian Swanson was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2002. Sean had worked at 7 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2013 - December 31, 2014
ALTRUISTIC INVESTMENT MANAGEMENT, INC.
November 30, 2010 - March 30, 2011
HORNOR, TOWNSEND & KENT, LLC
October 29, 2010 - March 30, 2011
HORNOR, TOWNSEND & KENT, LLC
May 1, 2009 - December 11, 2009
RYDEX ADVISORY SERVICES, LLC
May 1, 2009 - December 11, 2009
GUGGENHEIM DISTRIBUTORS, LLC
June 3, 2008 - March 25, 2009
EVERLAKE DISTRIBUTORS, LLC
December 5, 2007 - May 28, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 9, 2002 - June 23, 2004
A. G. EDWARDS & SONS, INC.
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
Current Firm
ALTRUISTIC INVESTMENT MANAGEMENT, INC.
CRD#: 166014 / SEC#:
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
