Individual Firm
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ERIC DAVID SWANSON
CRD#: 2630143
IA
B
CHARLES SCHWAB & CO., INC.CRD#: 5393 9800 Schwab Way
Lone Tree, CO 80124
Lone Tree, CO 80124
View By:
11/22/1995
Criminal
Final Disposition
State Registrations
B
Alabama 8/23/2021
B
Montana 8/23/2021
B
Alaska 8/23/2021
B
Nebraska 10/26/2021
B
Arizona 9/2/2021
B
Nevada 9/1/2021
B
Arkansas 8/23/2021
B
New Hampshire 8/26/2021
B
California 3/6/2018
B
New Jersey 8/23/2021
B
Colorado 12/4/2017
B
New Mexico 8/23/2021
IA
Colorado 1/3/2024
B
New York 8/23/2021
B
Connecticut 8/23/2021
B
North Carolina 8/23/2021
B
Delaware 8/24/2021
B
North Dakota 8/30/2021
B
District of Columbia 8/23/2021
B
Ohio 8/22/2021
B
Florida 8/23/2021
B
Oklahoma 8/23/2021
B
Georgia 8/24/2021
B
Oregon 8/27/2021
B
Hawaii 8/24/2021
B
Pennsylvania 8/23/2021
B
Idaho 8/23/2021
B
Rhode Island 8/23/2021
B
Illinois 9/1/2021
B
South Carolina 8/23/2021
B
Indiana 8/27/2021
B
South Dakota 9/2/2021
B
Iowa 8/26/2021
B
Tennessee 8/23/2021
B
Kansas 8/23/2021
B
Texas 8/23/2021
B
Kentucky 8/23/2021
IA
Texas 12/26/2023
B
Louisiana 8/23/2021
B
Utah 8/24/2021
B
Maine 8/23/2021
B
Vermont 8/23/2021
B
Maryland 8/24/2021
B
Virgin Islands 8/26/2021
B
Massachusetts 8/23/2021
B
Virginia 8/24/2021
B
Michigan 8/25/2021
B
Washington 8/23/2021
B
Minnesota 8/23/2021
B
West Virginia 8/30/2021
B
Mississippi 8/23/2021
B
Wisconsin 8/23/2021
B
Missouri 8/23/2021
B
Wyoming 8/23/2021
SRO Registrations
B
B
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IA
Registered with this firm since 12/26/2023
B
Registered with this firm since 12/1/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/17/2021 - 12/26/2023 | Lone Tree, CO | |
IA | 06/07/2011 - 01/21/2015 | DENVER, CO | |
B | 09/14/2006 - 01/21/2015 | DENVER, CO | |
IA | 05/01/2008 - 12/31/2008 | DENVER, CO | |
B | 07/31/2000 - 08/01/2005 | WESTLAKE, TX | |
B | 07/06/1995 - 11/28/1995 | PORTLAND, OR |
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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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