Thomas A. 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.
Thomas Alfred Swanson, who also goes by Tom Swanson, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1980. Thomas had worked at 10 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2003 - December 20, 2023
PORTFOLIO STRATEGY & MANAGEMENT, LTD
January 9, 1995 - December 14, 2006
SIGMA FINANCIAL CORPORATION
August 13, 1993 - December 19, 1994
BENTLEY-LAWRENCE SECURITIES, INC.
December 23, 1992 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
March 16, 1990 - December 23, 1992
USA FINANCIAL GROUP, INC.
January 21, 1986 - December 5, 1989
KORN, WOMACK, STERN AND ASSOCIATES, INC.
February 15, 1985 - January 9, 1986
MARINER FINANCIAL SERVICES, INC.
November 23, 1983 - January 22, 1985
FIRST NATIONAL SECURITITES CORPORATION
October 20, 1980 - March 4, 1986
EQUITABLE ADVISORS, LLC
August 27, 1980 - March 3, 1986
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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
Series 1
Date: 8/18/1980
Registered Representative ExaminationCurrent Firm
PORTFOLIO STRATEGY & MANAGEMENT, LTD
CRD#: 123159 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 27 |
| AUM (Assets Under Management) | $ 9,305,479 |
Red Flags
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