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MICHAEL SCOTT SWANN
MICHAEL S SWANN
CRD#: 2682115
IA
B
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 1109 MURFREESBORO RD
FL 1
FRANKLIN, TN 37064
FL 1
FRANKLIN, TN 37064
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 1109 MURFREESBORO RD
FRANKLIN, TN 37064
FRANKLIN, TN 37064
0
Disclosures
29
Years of Experience
View By:
State Registrations
B
Alabama 11/4/2013
B
Missouri 10/7/2020
B
Arizona 9/23/2022
B
Nevada 8/11/2016
B
Arkansas 7/12/2023
B
New Mexico 9/6/2024
B
California 8/11/2016
B
New York 12/21/2015
B
Colorado 2/5/2019
B
North Carolina 1/2/2020
B
District of Columbia 5/24/2021
B
Ohio 6/1/2018
B
Florida 11/4/2013
B
Oklahoma 10/25/2023
B
Georgia 9/23/2021
B
Tennessee 11/4/2013
B
Illinois 5/21/2015
IA
Tennessee 9/13/2016
B
Indiana 6/7/2018
IA
Texas 7/5/2017
B
Kansas 5/17/2023
B
Texas 1/21/2020
B
Kentucky 11/4/2013
B
Utah 9/12/2018
IA
Louisiana 12/9/2019
B
Virginia 4/12/2018
B
Louisiana 1/2/2020
B
Washington 7/12/2023
B
Massachusetts 1/3/2014
B
West Virginia 9/26/2016
B
Mississippi 4/22/2019
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
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IA
Registered with this firm since 9/13/2016
B
Registered with this firm since 11/4/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/04/2013 - 12/31/2016 | NASHVILLE, TN | |
IA | 05/14/2009 - 11/08/2013 | NASHVILLE, TN | |
B | 05/11/2009 - 11/08/2013 | NASHVILLE, TN | |
IA | 02/13/2007 - 05/14/2009 | NASHVILLE, TN | |
B | 02/13/2007 - 05/14/2009 | NASHVILLE, TN | |
IA | 03/09/2004 - 02/13/2007 | NASHVILLE, TN | |
B | 04/04/2003 - 02/13/2007 | NASHVILLE, TN | |
B | 11/24/2000 - 04/09/2003 | NEW YORK, NY | |
B | 07/25/1996 - 11/22/2000 | PURCHASE, NY | |
B | 01/26/1996 - 07/08/1996 | ATLANTA, GA |
NASHVILLE, TN
03/09/2004 - 02/13/2007
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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.