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GS

Glenn Robert Swift Sr

CRD# 872907·Registered 1979 - 2016
Previously Registered: Being a previously registered professional could mean that Glenn 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.

Professional Summary

Glenn Robert Swift SR, who also goes by Glenn R Swift, Glenn Robert Swift, was a registered financial advisor. Glenn was a previously registered financial professional and started their career in finance 1979 - 2016. Glenn had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Glenn R Swift, Glenn Robert Swift

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Videos & Posts

This advisor has not added any videos or posts yet.

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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.

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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Years of Experience

47 years in the financial services industry

Current & Past Employments

ECKHOUSE KULMAN & ASSOCIATES INC·CRD# 104959
RIA
Boca Raton, FL
February 22, 2007 - December 1, 2016
SUMMIT FINANCIAL GROUP INC·CRD# 109485
RIA
Vero Beach, FL
May 30, 2003 - August 18, 2005
SUMMIT BROKERAGE SERVICES, INC.·CRD# 34643
BD
Boca Raton, FL
May 29, 2003 - August 18, 2005
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
RIA
Port St. Lucie, FL
November 14, 2001 - June 4, 2003
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
St. Louis, MO
November 12, 2001 - June 4, 2003
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
June 5, 1996 - November 1, 2001
FNB BROKERAGE SERVICES, INC.·CRD# 18741
BD
Stuart, FL
April 5, 1995 - June 3, 1996
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
August 3, 1990 - April 6, 1995
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
October 24, 1983 - August 9, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
October 24, 1979 - October 21, 1983

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Current Firm

EK
ECKHOUSE KULMAN & ASSOCIATES INC

ECKHOUSE KULMAN & ASSOCIATES INC | ECKHOUSE KULMAN & ASSOCIATS INC

CRD#: 104959 / SEC#: 801-26603

Contact Information

Main Address

Boca Raton, FL

Documents

Latest Form ADV

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 1996About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1982About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Oct 1979About the Series 7 exam

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CRS (Client Relationship Summary)

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

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GS
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