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Allison Marie Swantkowski
ALLISON MARIE WAMMEL
CRD#: 4349491
IA
B
PARK AVENUE SECURITIES LLCCRD#: 46173 3040 POST OAK BLVD
SUITE 1150
HOUSTON, TX 77056
SUITE 1150
HOUSTON, TX 77056
0
Disclosures
19
Years of Experience
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State Registrations
B
Texas 12/11/2024
IA
Texas 12/11/2024
SRO Registrations
B
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IA
Registered with this firm since 12/11/2024
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Registered with this firm since 11/22/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/10/2015 - 09/22/2020 | HOUSTON, TX | |
B | 09/10/2015 - 09/22/2020 | MINNEAPOLIS, MN | |
IA | 09/27/2012 - 09/17/2015 | HOUSTON, TX | |
B | 11/01/2011 - 09/17/2015 | HOUSTON, TX | |
B | 06/19/2007 - 11/04/2011 | HOUSTON, TX | |
IA | 04/16/2001 - 06/04/2007 | AUSTIN, TX | |
B | 04/03/2001 - 06/04/2007 | AUSTIN, TX | |
B | 04/03/2001 - 07/03/2006 | MINNEAPOLIS, MN |
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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.