William C. Swanner
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.
William Carroll Swanner, who also goes by Bill Swanner, William C Swanner, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1975. William had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2016 - November 18, 2016
CHELSEA FINANCIAL SERVICES
August 11, 2014 - May 31, 2016
RIDGEWAY & CONGER, INC.
January 3, 2007 - July 30, 2014
REGAL SECURITIES, INC.
January 3, 2005 - December 31, 2006
SAMCO FINANCIAL SERVICES, INC.
September 10, 1999 - December 31, 2004
LOMBARD SECURITIES INCORPORATED
May 9, 1995 - September 9, 1999
RHODES SECURITIES, INC.
June 28, 1994 - May 9, 1995
J.J.B. HILLIARD, W.L. LYONS, LLC
February 16, 1993 - July 7, 1994
THE TRADING DESK, INC.
July 25, 1988 - February 23, 1993
SOUTHSTATE SECURITIES CORP.
April 25, 1988 - July 26, 1988
FIRSTMONEY SECURITIES CORPORATION
November 2, 1987 - May 4, 1988
THOMSON MCKINNON SECURITIES INC.
January 15, 1986 - November 12, 1987
UBS FINANCIAL SERVICES INC.
June 10, 1985 - February 6, 1986
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 15, 1981 - June 17, 1985
UBS FINANCIAL SERVICES INC.
June 19, 1980 - May 13, 1981
MORGAN STANLEY DW INC.
December 15, 1975 - July 4, 1980
SOUTHSTATE SECURITIES CORP.
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 1
Date: 6/23/1978
Registered Representative ExaminationCurrent Firm
CHELSEA FINANCIAL SERVICES
CRD#: 47770 / SEC#: , 8-51916
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
