Randy E. Swartz

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CRD#: 736809

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.

Randy Eric Swartz was a registered financial professional .

Randy is a previously registered financial professional and started their career in finance in 1981. Randy had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 31, Series 22 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 1, 2016 - August 7, 2019

SYMPHONIC SECURITIES LLC

CRD#: 139512

HOUSTON, TX

Past

May 18, 2016 - August 7, 2019

SYMPHONIC FINANCIAL ADVISORS LLC

RIA

CRD#: 135603

houston, TX

Past

August 29, 2008 - August 9, 2011

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

HOUSTON, TX

Past

August 20, 2007 - August 9, 2011

PRINCIPAL SECURITIES, INC.

CRD#: 1137

HOUSTON, TX

Past

September 11, 1996 - February 27, 1998

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 26, 1996 - September 17, 1996

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

January 1, 1988 - October 11, 1988

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

November 29, 1984 - December 15, 1987

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

Past

May 29, 1984 - September 24, 1984

LUMBERT-SWARTZ FINANCIAL, INC.

CRD#: 14120

Past

September 22, 1982 - June 21, 1984

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

Past

September 23, 1981 - August 20, 1982

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 6/29/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/8/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/18/2007

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 31

Date: 11/13/1996

Futures Managed Funds Examination

General Industry/Product Exam

Series 22

Date: 7/12/1982

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 39

Date: 3/28/1983

Direct Participation Programs Principal Examination

Current Firm

SYMPHONIC SECURITIES LLC

CRD#: 139512 / SEC#: , 8-67220

Terminated by SEC on 07/08/2024

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 05/02/2005

Firm type

Limited Liability Company

Fiscal year end

October

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
CITY NATIONAL ROCHDALE HOLDINGS, INC.	MANAGING MEMBER/100% OWNER
BARTON, RICHARD JOSEPH	CHIEF COMPLIANCE OFFICER	2040869
CEPLER, MITCHELL DANIEL	CFO AND FINOP	4554270
GIAQUINTO, GREGG ROBERT	MANAGING DIRECTOR, CLIENT SERVICES & OPERATIONS	3182583

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.

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Advisor Monitoring

Firm Stability Insights

Randy E. Swartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SYMPHONIC FINANCIAL ADVISORS LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

MORGAN STANLEY DW INC.

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

MML INVESTORS SERVICES, LLC

GREEN HILL FINANCIAL SERVICE CORPORATION

LUMBERT-SWARTZ FINANCIAL, INC.

GREEN HILL FINANCIAL SERVICE CORPORATION

LINCOLN FINANCIAL DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/29/2016

Series 65

Date: 11/8/1996

SIE

Date: 10/1/2018

Series 7

Date: 6/20/2016

Series 6

Date: 8/18/2007

Series 31

Date: 11/13/1996

Series 22

Date: 7/12/1982

Series 39

Date: 3/28/1983

Current Firm

SYMPHONIC SECURITIES LLC

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

SYMPHONIC SECURITIES LLC

TRUST BUT VERIFY

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