James M. Swint
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.
James Mccormick Swint, who also goes by Jim Mccormick Swint, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2004. James had worked at 4 firms and has passed the Series 66, Series 63, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2014 - March 29, 2017
RCM WEALTH ADVISORS
April 25, 2013 - August 12, 2014
MORGAN STANLEY
April 25, 2013 - August 12, 2014
MORGAN STANLEY
February 15, 2013 - March 6, 2013
WADDELL & REED
January 24, 2013 - March 6, 2013
WADDELL & REED
March 23, 2004 - December 6, 2005
GREAT POINT CAPITAL LLC
Primary Firm SEC Registration
RCM WEALTH ADVISORS
CRD#: 153641 / SEC#: 801-92177
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 55
Date: 3/1/2004
Limited Representative-Equity Trader ExamCurrent Firm
RCM WEALTH ADVISORS
CRD#: 153641 / SEC#: 801-92177
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 941 |
| AUM (Assets Under Management) | $ 324,000,000 |
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.
