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Detailed Report
TREVOR R SWARTZ
CRD#: 4269191
IA
Investment Adviser
B
Broker
HIGHTOWER ADVISORS, LLCCRD#: 145323 8200 College Parkway
Suite 102
Fort Myers, FL 33919
HIGHTOWER SECURITIES, LLCCRD#: 116681 8200 College Parkway
FORT MYERS, FL 33919
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2014 (13 years)2 FIRMS2014 - Present (10 years)
License(s)

State Registrations

B
Florida 8/8/2014
B
Maine 1/3/2022
IA
Florida 10/6/2014
B
Mississippi 8/8/2014
B
Georgia 8/8/2014
B
Wisconsin 1/2/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
HIGHTOWER ADVISORS, LLC (CRD#:145323)
8200 College Parkway Suite 102, Fort Myers, FL 33919
Registered with this firm since 8/8/2014
B
HIGHTOWER SECURITIES, LLC (CRD#:116681)
8200 College Parkway, FORT MYERS, FL 33919
Registered with this firm since 8/8/2014
Previous Registration(s)
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IA
 11/08/2000 - 08/12/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FORT MYERS, FL
B
 11/07/2000 - 08/12/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FORT MYERS, FL
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.