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Detailed Report
EDRIC MICHAEL MCSWEEN
EDRIC MICHAEL MC SWEEN
CRD#: 2080810
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
199419961998200020022004200620082010201220142016201820202022IAAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)1993 - 2021 (27 years)
Disclosure(s)
View By:
5/10/2022
Regulatory
Final
2/26/2021
Employment Separation After Allegations
11/16/2018
Judgment / Lien
11/22/2017
Judgment / Lien
4/1/2016
Judgment / Lien
10/3/2015
Judgment / Lien
12/9/2014
Judgment / Lien
10/12/2010
Judgment / Lien
10/6/2010
Judgment / Lien
Previous Registration(s)
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IA
 04/23/1993 - 03/18/2021 AMERIPRISE FINANCIAL SERVICES, LLC. (CRD#:6363) NAPLES, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.