Individual Firm
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STACY LEE SWAIN
STACY L DENISON, STACY LEE DENISON, STACY DENISON, STACY L SWAIN
CRD#: 1141500
IA
B
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 291361 1850 Mt Diablo Boulevard - Suite 300
Walnut Creek, CA 94596
Walnut Creek, CA 94596
0
Disclosures
35
Years of Experience
View By:
State Registrations
B
Alaska 4/7/2023
B
New Jersey 4/3/2023
B
Arizona 4/6/2023
B
New Mexico 11/16/2023
B
California 3/28/2023
B
New York 4/8/2023
IA
California 3/28/2023
B
North Carolina 4/25/2023
B
Colorado 3/28/2023
B
Ohio 3/27/2023
B
Connecticut 3/28/2023
B
Oklahoma 4/3/2023
B
Delaware 4/10/2023
B
Oregon 4/3/2023
B
District of Columbia 3/31/2023
B
Pennsylvania 3/28/2023
B
Florida 4/3/2023
B
South Carolina 3/31/2023
B
Georgia 5/4/2023
B
South Dakota 4/6/2023
B
Idaho 4/3/2023
B
Tennessee 3/28/2023
B
Illinois 9/7/2023
IA
Texas 3/27/2023
B
Indiana 3/30/2023
B
Texas 3/28/2023
B
Kentucky 3/29/2023
B
Utah 3/28/2023
B
Louisiana 4/17/2023
B
Vermont 4/25/2023
B
Maryland 3/28/2023
B
Virginia 4/24/2023
B
Massachusetts 3/28/2023
B
Washington 4/26/2023
B
Michigan 3/30/2023
B
Wisconsin 3/28/2023
B
Nevada 5/8/2023
B
Wyoming 3/29/2023
B
New Hampshire 6/21/2023
SRO Registrations
B
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IA
Registered with this firm since 3/27/2023
B
Registered with this firm since 3/27/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/18/2016 - 04/24/2023 | Walnut Creek, CA | |
B | 03/18/2016 - 04/24/2023 | Walnut Creek, CA | |
IA | 10/24/2012 - 03/22/2016 | SAN FRANCISCO, CA | |
B | 02/13/2012 - 03/22/2016 | SAN FRANCISCO, CA | |
IA | 03/25/2005 - 11/28/2006 | SAN FRANCISCO, CA | |
B | 04/28/1989 - 11/28/2006 | SAN FRANCISCO, CA | |
B | 12/14/1987 - 11/30/1989 | NEW YORK, NY | |
B | 03/06/1985 - 06/04/1987 | ||
B | 06/14/1983 - 01/29/1985 |
SAN FRANCISCO, CA
10/24/2012 - 03/22/2016
SAN FRANCISCO, CA
02/13/2012 - 03/22/2016
SAN FRANCISCO, CA
04/28/1989 - 11/28/2006
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.