Adam C. Swartz
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.
Adam Chaim Swartz, who also goes by Adam Swartz, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2018. Adam had worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2018 - October 2, 2020
HERITAGE CAPITAL GROUP, INC.
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
HERITAGE CAPITAL GROUP, INC.
CRD#: 44053 / SEC#: , 8-50519
Contact information
FINRA licenses (17 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WIGGINS, CHARLES DONALD | SHAREHOLDER | 2953990 |
| HOLLEY, CECIL MCNAIR | SHAREHOLDER | 5978590 |
| KRAVET, DOUGLAS MICHAEL | SHAREHOLDER/ FINOP | 4892745 |
| NICHOLSON, WILLIAM ROBERT | CCO | 4445995 |
| SERKIN, HOWARD CHARLES | SHAREHOLDER | 2956726 |
| KELLISON, CHARLES ALEXANDER | PRESIDENT/SHAREHOLDER | 5772126 |
| SORENSON, WILLIAM DICK | CEO/SHAREHOLDER | 6436196 |
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.
