Shivan O. Swarath
Professional summary
Shivan O Swarath, who also goes by Shivan O Swarth, is a registered financial professional currently at ACP SECURITIES, LLC located in Lauderhill, Florida.
Shivan is registered as a RR (Registered Representative) and started their career in finance in 2008. Shivan has worked at 4 firms and has passed the Series 63, SIE, Series 34, Series 3, Series 7, Series 24 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shivan O Swarath's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 6, 2025 - Present
ACP SECURITIES, LLC
August 30, 2024 - October 30, 2025
NORTHBOUND SECURITIES LLC
December 21, 2023 - October 3, 2025
ALLARIA SECURITIES, LLC
November 17, 2023 - September 3, 2025
ACP SECURITIES, LLC
February 21, 2008 - July 27, 2022
TRADESTATION SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
(10/6/2025)
Exams
FINRA
Current Firm
ACP SECURITIES, LLC
CRD#: 139049 / SEC#: , 8-67185
Contact information
FINRA licenses (15 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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