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Registration History
19801985199019952000200520102015202020252 FIRMS1995 - 1995 (<1 year)2 FIRMS2004 - 2012 (8 years)IATHE SWANSON FINANCIAL GROUP (CRD# 164869)2012 - Present (12 years)BWS GRIFFITH SECURITIES, INC. (CRD# 10410)1996 - 2004 (7 years)BJOHN HANCOCK DISTRIBUTORS, INC. (CRD# 468)1996 - 1996 (<1 year)IAWS GRIFFITH SECURITIES, INC. (CRD# 10410)2000 - 2004 (3 years)
Disclosure(s)
View By:
11/5/2009
Customer Dispute
Settled
10/12/2009
Customer Dispute
Settled
10/31/1981
Criminal
Final Disposition
9/3/1981
Criminal
Final Disposition
6/13/1981
Criminal
Final Disposition
3/10/1979
Criminal
Final Disposition
License(s)

State Registrations

IA
California 8/29/2012

Current Registration(s)
IA
THE SWANSON FINANCIAL GROUP (CRD#:164869)
SAN DIEGO, CA
Registered with this firm since 8/29/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/25/2004 - 08/02/2012 LPL FINANCIAL LLC (CRD#:6413) SAN DIEGO, CA
B
05/24/2004 - 08/02/2012 LPL FINANCIAL LLC (CRD#:6413) SAN DIEGO, CA
IA
10/24/2000 - 05/26/2004 WS GRIFFITH SECURITIES, INC. (CRD#:10410) SAN DIEGO, CA
B
10/22/1996 - 05/26/2004 WS GRIFFITH SECURITIES, INC. (CRD#:10410) HARTFORD, CT
B
01/18/1996 - 08/30/1996 JOHN HANCOCK DISTRIBUTORS, INC. (CRD#:468) BOSTON, MA
B
04/19/1995 - 09/05/1995 JOHN HANCOCK DISTRIBUTORS, INC. (CRD#:468) BOSTON, MA
B
04/19/1995 - 09/05/1995 JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (CRD#:5181) BOSTON, MA
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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.