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Detailed Report
Rebecca Simonds McSwain
REBECCA S MC SWAIN, REBECCA SIMONDS MC SWAIN, Rebecca S McSwain, REBECCA ANN SIMONDS
CRD#: 4945750
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 4502 CORTEZ RD WEST SUITE 105
BRADENTON, FL 34210-3124
Registration History
200620082010201220142016201820202022202420262 FIRMS2016 - Present (8 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2005 - 2014 (8 years)IANORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2012 - 2014 (1 year)
License(s)

State Registrations

B
Alabama 4/10/2023
B
Minnesota 12/23/2020
B
Arizona 4/10/2023
B
Missouri 8/13/2018
B
Arkansas 11/18/2021
B
New Hampshire 7/2/2024
B
California 4/10/2023
B
New Jersey 4/9/2024
B
Colorado 3/18/2016
B
New York 1/2/2019
B
Connecticut 9/27/2021
B
North Carolina 3/18/2016
B
Florida 3/9/2016
B
Ohio 3/18/2016
IA
Florida 4/12/2016
B
Oklahoma 3/18/2016
B
Georgia 3/18/2016
B
Oregon 6/15/2021
B
Illinois 11/6/2020
B
Pennsylvania 6/15/2021
B
Indiana 4/29/2020
B
South Carolina 6/28/2021
B
Kansas 11/6/2020
B
Tennessee 11/23/2020
B
Kentucky 7/25/2016
B
Texas 3/18/2016
B
Maine 11/6/2020
IA
Texas 1/9/2019
B
Maryland 11/6/2020
B
Virginia 3/18/2016
B
Massachusetts 3/18/2016
B
Wisconsin 6/28/2021
B
Michigan 7/25/2016

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
EDWARD JONES (CRD#:250)
4502 CORTEZ RD WEST SUITE 105, BRADENTON, FL 34210-3124
Registered with this firm since 4/12/2016
B
EDWARD JONES (CRD#:250)
4502 CORTEZ RD WEST SUITE 105, BRADENTON, FL 34210-3124
Registered with this firm since 3/9/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/15/2012 - 03/14/2014 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) TAMPA, FL
B
 07/18/2005 - 03/14/2014 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) TAMPA, 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.