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DS

David P. Swift

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CRD#: 4846235
DS

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.

David Paine Swift was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2004. David had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 3, 2012 - February 5, 2016

PACIFIC CURRENT GROUP

BD
CRD#: 156263
TACOMA, WA
Past

May 7, 2008 - August 30, 2012

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

April 6, 2005 - March 13, 2008

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
SAN FRANCISCO, CA
Past

September 27, 2004 - March 29, 2005

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/26/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/5/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/24/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/26/2013
General Securities Principal Examination

Current Firm

PC
PACIFIC CURRENT GROUP
NLCG DISTRIBUTORS, LLC | PACIFIC CURRENT GROUP

CRD#: 156263 / SEC#: , 8-68781

BD
Terminated by SEC on 08/10/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 11/24/2010
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
NORTHERN LIGHTS CAPITAL GROUP, LLCMANAGING MEMBER, OWNER
GRISWOLD, JOHN DAVIDGENERAL COUNSEL, CCO2022655
LANG, LAURAFINOP / PRINCIPAL FINANCIAL OFFICER / S242249418
NIINO, DOLLADAFINANCIAL CONTROLLER / PRINCIPAL OPERATIONS OFFICER7626772

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.

Company Information

PACIFIC CURRENT GROUP

CRD#: 156263

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