Shivan O Swarath
Professional Summary
Shivan O Swarath, who also goes by Shivan O Swarth, is a registered financial advisor currently at ACP SECURITIES, LLC located in Margate, Florida and EPIC CAPITAL SECURITIES located in Boca Raton, Florida. Shivan is registered as a RR (Registered Representative) and started their career in finance in 2008. Shivan has worked at 5 firms and has passed the Series 63, SIE, Series 34, Series 3, Series 7, Series 24 and Series 30 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Shivan O Swarth
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
18 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
EPIC CAPITAL SECURITIES | EPIC CAPITAL SECURITIES CORP
Contact Information
Main Address
1951 Nw 19th Street Suite 203, Boca Raton, FL 33431Mailing Address
1951 Nw 19th Street Suite 203, Boca Raton, FL 33431Phone Number
(561) 829-2173Established
Florida since 11/29/2012Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (19 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(10/6/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Shivan O Swarath's CRS (Customer Relationship Summary).
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