Peter B. Swan
Professional summary
Peter Burnham Swan, who also goes by Peter Swan, is a registered financial professional currently at APOLLO GLOBAL SECURITIES, LLC located in El Segundo, California.
Peter is registered as a RR (Registered Representative) and started their career in finance in 2014. Peter has worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter Burnham Swan's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 9, 2019 - Present
APOLLO GLOBAL SECURITIES, LLC
Office #1: 2121 Rosecrans Avenue Suite 5300, El Segundo, CA 90245August 16, 2014 - July 8, 2019
GOLDMAN SACHS & CO. 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
(1/4/2022)
(1/4/2022)
(1/4/2022)
(1/4/2022)
(1/4/2022)
(7/9/2019)
(1/4/2022)
(1/4/2022)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamFINRA
Current Firm
APOLLO GLOBAL SECURITIES, LLC
CRD#: 153502 / SEC#: , 8-68542
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APOLLO MANAGEMENT HOLDINGS, L.P. | MEMBER | |
| CHATTERJEE, WHITNEY A | MEMBER BOARD OFMANAGERS | 7874808 |
| DRESCHER, STEPHANIE | HEAD OF MARKETING | 3055145 |
| LEVY, YAEL KENAN | CHIEF COMPLIANCE OFFICER | 4435788 |
| NEEDLEMAN, ERIC DAVID | PRESIDENT | 2773431 |
| TREBING, ADAM P | CFO / FINOP / PFO / POO | 5828238 |
| TREBING, ADAM P | MEMBER BOARD OF MANAGERS | 5828238 |
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.
