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JOSHUA A SWENSON
CRD#: 5013180
IA
B
INDEPENDENT FINANCIAL PARTNERSCRD#: 125112 734 Clinton Street
Waukesha, WI 53186
Waukesha, WI 53186
IFP SECURITIES, LLCCRD#: 297287 734 Clinton Street
Waukesha, WI 53186
Waukesha, WI 53186
0
Disclosures
16
Years of Experience
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State Registrations
IA
Wisconsin 12/2/2010
B
Wisconsin 5/22/2019
SRO Registrations
B
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IA
Registered with this firm since 12/2/2010
B
Registered with this firm since 5/22/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/30/2010 - 05/23/2019 | WAUKESHA, WI | |
B | 11/10/2009 - 11/30/2010 | DELAFIELD, WI | |
B | 03/19/2008 - 11/11/2009 | MILWAUKEE, WI |
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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.