William Allen Swisher
Professional Summary
William Allen Swisher was a registered financial advisor. William was a previously registered financial professional and started their career in finance 1978 - 1999. William had worked at 2 firms and has passed the Series 65, Series 63, Series 5, Series 15, Series 7, Series 53, Series 24, Series 4 and Series 12 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
48 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST UNION CAPITAL MARKETS CORP. | WHEAT, FIRST SECURITIES, INC.
Contact Information
Established
Virginia since 04/12/1966Firm Type
CorporationFiscal Year End
DecemberDocuments
Disclosures
Regulatory Event
19Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Oct 1983Series 15 — Foreign Currency Options Examination
Passed Mar 1983Series 12 — NYSE Branch Manager Examination
Passed Apr 1981Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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