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Duncan Boswell Swanston

E.F. HUTTON & CO.

New York, NY

·CRD# 5402343·18 years experience

Professional Summary

Duncan Boswell Swanston is a registered financial advisor currently at E.F. HUTTON & CO. LLC located in New York, New York. Duncan is registered as a RR (Registered Representative) and started their career in finance in 2008. Duncan has worked at 6 firms and has passed the Series 63, Series 52TO, SIE, Series 79, Series 7 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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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 are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

18 years in the financial services industry

Current & Past Employments

E.F. HUTTON & CO. LLC·CRD# 322687

BD

New York, NY

December 3, 2024 - Present

STRATOSPHERE CAPITAL, LLC·CRD# 327749

BD

New York, NY

November 5, 2024 - January 2, 2025

D. BORAL CAPITAL·CRD# 103792

BD

New York, NY

April 8, 2022 - November 15, 2024

CGA SECURITIES, LLC·CRD# 32301

BD

Timonium, MD

August 29, 2012 - April 22, 2022

WATERWAY CAPITAL LLC·CRD# 128212

BD

Baltimore, MD

July 13, 2011 - August 29, 2012

NATWEST MARKETS SECURITIES INC.·CRD# 11707

BD

Timonium, MD

April 16, 2008 - July 1, 2009

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Current Firm

EH

E.F. HUTTON & CO. LLC

E.F. HUTTON & CO. LLC | WH CAPITAL LLC

CRD#: 322687 / SEC#: 8-70957

BD

Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

745 Fifth Avenue 34th Floor & Ph, New York, NY 10151

Mailing Address

745 Fifth Avenue 34th Floor & Ph, New York, NY 10151

Phone Number

(212) 970-3700

Established

Delaware since 03/20/2026

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
E.F. HUTTON HOLDINGS LLC	MEMBER	—
ONESTO, RICHARD ERNEST	FINOP/PFO/POO	2453096
RALLO, JOSEPH THOMAS	CEO	5184862
SWANSTON, DUNCAN BOSWELL	PRESIDENT, CHIEF COMPLIANCE OFFICER	5402343

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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.

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State Registrations and Notice Filings

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

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(1/5/2026)

RR

Alaska
(1/5/2026)

RR

Arizona
(9/29/2025)

RR

Arkansas
(1/5/2026)

RR

California
(1/5/2026)

RR

Colorado
(1/5/2026)

RR

Connecticut
(1/5/2026)

RR

Delaware
(2/24/2025)

RR

District of Columbia
(1/5/2026)

RR

Florida
(1/5/2026)

RR

Georgia
(1/5/2026)

RR

Hawaii
(1/5/2026)

RR

Idaho
(1/5/2026)

RR

Illinois
(1/5/2026)

RR

Indiana
(1/31/2025)

RR

Iowa
(1/5/2026)

RR

Kansas
(1/5/2026)

RR

Kentucky
(1/5/2026)

RR

Louisiana
(1/5/2026)

RR

Maine
(1/5/2026)

RR

Maryland
(12/12/2024)

RR

Massachusetts
(4/30/2025)

RR

Michigan
(1/5/2026)

RR

Minnesota
(1/5/2026)

RR

Mississippi
(1/5/2026)

RR

Missouri
(1/5/2026)

RR

Montana
(1/5/2026)

RR

Nebraska
(1/5/2026)

RR

Nevada
(1/5/2026)

RR

New Hampshire
(1/5/2026)

RR

New Jersey
(1/5/2026)

RR

New Mexico
(1/5/2026)

RR

New York
(12/4/2024)

RR

North Carolina
(1/5/2026)

RR

North Dakota
(1/5/2026)

RR

Ohio
(1/5/2026)

RR

Oklahoma
(1/5/2026)

RR

Oregon
(1/5/2026)

RR

Pennsylvania
(1/5/2026)

RR

Puerto Rico
(1/5/2026)

RR

Rhode Island
(1/5/2026)

RR

South Carolina
(1/5/2026)

RR

South Dakota
(2/11/2025)

RR

Tennessee
(1/5/2026)

RR

Texas
(9/29/2025)

RR

Utah
(1/5/2026)

RR

Vermont
(1/5/2026)

RR

Virgin Islands
(1/5/2026)

RR

Virginia
(12/10/2024)

RR

Washington
(1/5/2026)

RR

West Virginia
(1/5/2026)

RR

Wisconsin
(1/5/2026)

RR

Wyoming
(1/5/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 2009About the Series 63 exam

Series 52TO — Municipal Securities Representative Examination

Passed Apr 2026About the Series 52TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 79 — Investment Banking Registered Representative Examination

Passed Dec 2014About the Series 79 exam

Series 7 — General Securities Representative Examination

Passed Apr 2008About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 2022About the Series 24 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Duncan Boswell Swanston's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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DS

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