Randolphe P. Swenson
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.
Randolphe Pierson Swenson JR., who also goes by Randy Swenson, was a registered financial professional .
Randolphe is a previously registered financial professional and started their career in finance in 2003. Randolphe had worked at 1 firm and has passed the Series 79TO, SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2010 - December 31, 2025
GVC CAPITAL LLC
April 24, 2003 - December 3, 2008
GVC CAPITAL LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 62
Date: 4/22/2003
Corporate Securities Limited Representative ExaminationCurrent Firm
GVC CAPITAL LLC
CRD#: 38923 / SEC#: , 8-48465
Contact information
FINRA licenses (41 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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