Natalie M. 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.
Natalie Marie Swanson, who also goes by Natalie Swanson, was a registered financial professional .
Natalie is a previously registered financial professional and started their career in finance in 2017. Natalie had worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2018 - November 18, 2020
TCG SECURITIES, L.L.C.
August 7, 2017 - October 24, 2017
B. RILEY SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 7TO
Date: 11/20/2022
General Securities Representative ExaminationCurrent Firm
TCG SECURITIES, L.L.C.
CRD#: 154788 / SEC#: , 8-68672
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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