Individual Firm
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Sean Patrick Swanson
Sean P Swanson
CRD#: 5041694
IA
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SMART WEALTH, LLCCRD#: 315496 13815 FNB PARKWAY, SUITE 400
OMAHA, NE 68154
OMAHA, NE 68154
View By:
10/2/2006
Customer Dispute
Denied
State Registrations
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Arizona 2/16/2023
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Nebraska 1/19/2022
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Colorado 7/18/2023
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Nevada 8/1/2024
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Florida 3/14/2023
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Ohio 8/1/2024
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Indiana 11/12/2024
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South Carolina 11/8/2023
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Iowa 2/17/2023
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Texas 2/16/2023
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Kentucky 8/6/2024
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Virginia 8/2/2024
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Maryland 8/1/2024
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Registered with this firm since 1/19/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/17/2021 - 01/11/2022 | ELKHORN, NE | |
B | 11/17/2021 - 01/11/2022 | ELKHORN, NE | |
IA | 02/14/2020 - 10/20/2021 | Omaha, NE | |
B | 02/13/2020 - 10/20/2021 | LITTLETON, CO | |
IA | 09/03/2015 - 02/10/2020 | OMAHA, NE | |
B | 09/03/2015 - 02/10/2020 | JERSEY CITY, NJ | |
IA | 08/13/2013 - 05/19/2015 | OMAHA, NE | |
B | 08/09/2013 - 05/19/2015 | OMAHA, NE | |
IA | 12/19/2012 - 05/16/2013 | OMAHA, NE | |
B | 11/03/2005 - 05/16/2013 | OMAHA, NE |
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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.
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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.