Individual Firm
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JASON MICHAEL SWOBE
JASON MICHEAL SWOBE
CRD#: 2723694
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 10845 Griffith Peak Dr Ste 690
Las Vegas, NV 89135
Las Vegas, NV 89135
View By:
2/25/2002
Customer Dispute
Closed-No Action
State Registrations
B
Arizona 5/18/2016
B
Nevada 5/18/2016
B
California 5/18/2016
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Nevada 5/26/2016
B
Colorado 5/18/2016
B
New Jersey 10/9/2019
B
Delaware 10/9/2019
B
New Mexico 10/9/2019
B
Florida 5/18/2016
B
North Carolina 10/9/2019
B
Hawaii 5/18/2016
B
North Dakota 1/3/2022
B
Idaho 5/18/2016
B
Tennessee 1/21/2022
B
Illinois 10/9/2019
B
Texas 1/6/2022
B
Kansas 5/18/2016
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Texas 1/6/2022
B
Kentucky 10/31/2019
B
Utah 5/18/2016
B
Minnesota 8/17/2022
B
Virginia 5/18/2016
B
Missouri 10/9/2019
B
Washington 10/11/2021
B
Montana 10/9/2019
B
Wisconsin 8/17/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 5/26/2016
B
Registered with this firm since 5/18/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/10/2012 - 10/15/2014 | LAS VEGAS, NV | |
B | 01/04/2010 - 10/17/2011 | LAS VEGAS, NV | |
IA | 01/02/2001 - 06/18/2009 | LAS VEGAS, NV | |
B | 06/17/1997 - 06/18/2009 | LAS VEGAS, NV | |
B | 04/11/1996 - 04/21/1997 | LOS ANGELES, CA | |
B | 10/16/1996 - 02/19/1997 | PURCHASE, NY |
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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.
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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.