Ashleigh C. Swayze
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.
Ashleigh Cooper Swayze, who also goes by Ashleigh Cooper Robb, was a registered financial professional .
Ashleigh is a previously registered financial professional and started their career in finance in 2005. Ashleigh had worked at 7 firms and has passed the Series 65, 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
March 30, 2017 - September 20, 2017
ROBBINS FARLEY LLC
July 7, 2015 - January 7, 2016
AWARENESS WEALTH ADVISORS, INC.
June 10, 2013 - July 17, 2013
GIRA & GIRA INVESTMENT ADVISORS LLC
May 13, 2013 - June 6, 2013
INVESTMENT LEADERSHIP, LLC
January 7, 2013 - March 28, 2013
COLISEUM WEALTH MANAGEMENT, LLC
March 23, 2009 - December 31, 2009
GLEACHER ADVISORS LLC
January 21, 2005 - July 9, 2009
GLEACHER PARTNERS LLC
Primary Firm SEC Registration
ROBBINS FARLEY LLC
CRD#: 286581 / SEC#: 801-118427
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
ROBBINS FARLEY LLC
CRD#: 286581 / SEC#: 801-118427
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 680 |
| AUM (Assets Under Management) | $ 225,082,765 |
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.
