Individual Firm
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Donald Matthew Swanson
DON SWANSON, DONALD MATHEW SWANSON, DONALD MATTHEW SWANSON
CRD#: 1893803
IA
B
EDWARD JONESCRD#: 250 16766 BERNARDO CENTER DRIVE
SUITE 108
SAN DIEGO, CA 92128-2534
SUITE 108
SAN DIEGO, CA 92128-2534
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10/15/1982
Criminal
Final Disposition
State Registrations
B
California 2/28/2024
B
Texas 4/25/2024
IA
California 3/1/2024
IA
Texas 4/29/2024
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 3/1/2024
B
Registered with this firm since 2/26/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/29/2003 - 10/06/2022 | SAN DIEGO, CA | |
B | 03/03/2003 - 06/09/2003 | FORT WAYNE, IN | |
B | 12/15/2000 - 08/08/2002 | DES MOINES, IA | |
B | 06/05/2000 - 06/23/2000 | SPRINGFIELD, MA | |
B | 06/05/2000 - 06/23/2000 | NEW YORK, NY | |
B | 10/25/1989 - 04/10/2000 | SPRINGFIELD, MA | |
B | 12/01/1988 - 08/14/1989 | CINCINNATI, OH |
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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.
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