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Detailed Report
CRAIG RAY SWANN
CRAIG R SWANN
CRD#: 3103071
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 100 CRESCENT CT
STE 1400
DALLAS, TX 75201
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS1999 - 2002 (3 years)2 FIRMS2002 - 2004 (1 year)2 FIRMS2015 - 2015 (<1 year)2 FIRMS2015 - Present (9 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2013 - 2015 (2 years)BPINEBRIDGE SECURITIES LLC (CRD# 5967)2010 - 2012 (2 years)BQUASAR DISTRIBUTORS, LLC (CRD# 103848)2006 - 2008 (2 years)BHIBERNIA SOUTHCOAST CAPITAL, INC. (CRD# 44158)2004 - 2006 (1 year)
License(s)

State Registrations

B
Alabama 8/27/2018
B
Minnesota 6/29/2020
B
Arizona 7/11/2023
B
Mississippi 6/29/2020
B
California 12/17/2015
B
Missouri 12/17/2015
B
Colorado 12/17/2015
B
Nebraska 12/17/2015
B
Florida 12/17/2015
B
Nevada 11/2/2021
B
Georgia 9/13/2019
B
New Jersey 2/14/2018
B
Idaho 11/2/2021
B
New York 12/17/2015
B
Illinois 6/5/2017
B
Oklahoma 12/17/2015
B
Kansas 12/17/2015
B
Puerto Rico 7/21/2020
B
Maine 12/17/2015
B
South Carolina 3/28/2024
B
Massachusetts 12/19/2023
B
Texas 12/17/2015
B
Michigan 4/11/2018
IA
Texas 12/17/2015

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
100 CRESCENT CT STE 1400, DALLAS, TX 75201
Registered with this firm since 12/17/2015
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
100 CRESCENT CT STE 1400, DALLAS, TX 75201
Registered with this firm since 12/17/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/19/2015 - 12/28/2015 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) DALLAS, TX
B
 05/15/2015 - 12/28/2015 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) DALLAS, TX
B
 06/24/2013 - 06/04/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) DALLAS, TX
B
 06/24/2010 - 07/06/2012 PINEBRIDGE SECURITIES LLC (CRD#:5967) DALLAS, TX
B
 06/19/2006 - 12/31/2008 QUASAR DISTRIBUTORS, LLC (CRD#:103848) PORTLAND, ME
B
 05/28/2004 - 04/17/2006 HIBERNIA SOUTHCOAST CAPITAL, INC. (CRD#:44158) NEW ORLEANS, LA
IA
 08/28/2002 - 05/17/2004 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) GARLAND, TX
B
 08/28/2002 - 05/17/2004 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
IA
 02/03/1999 - 08/22/2002 MORGAN STANLEY (CRD#:7556) DALLAS, TX
B
 01/08/1999 - 08/22/2002 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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.