Eric R. Swanson
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.
Eric Roland Swanson was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2007. Eric had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2018 - December 13, 2019
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 28, 2014 - April 11, 2018
LION STREET FINANCIAL, LLC
January 3, 2013 - March 18, 2013
PRUCO SECURITIES, LLC.
September 30, 2011 - January 3, 2013
HIMCO DISTRIBUTION SERVICES COMPANY
August 24, 2009 - September 16, 2011
SECURIAN FINANCIAL SERVICES, INC.
March 12, 2009 - July 15, 2009
CADARET, GRANT & CO., INC.
January 17, 2007 - March 3, 2009
ALLIANZ LIFE FINANCIAL SERVICES, LLC
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
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
