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Jonathan David Swart
JONATHAN D CAPPS, JONATHAN DAVID CAPPS, JD Swart
CRD#: 5210751
IA
B
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 1508 Military Cutoff Rd.
Suite 305
Wilmington, NC 28403
Suite 305
Wilmington, NC 28403
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 1508 Military Cutoff Rd
Suite 102
Wilmington, NC 28403
Suite 102
Wilmington, NC 28403
0
Disclosures
12
Years of Experience
View By:
State Registrations
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Arizona 9/7/2023
B
North Carolina 9/7/2023
B
California 9/7/2023
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North Carolina 9/7/2023
B
Delaware 8/12/2024
B
Rhode Island 9/7/2023
B
Florida 9/7/2023
B
South Carolina 9/7/2023
B
Georgia 9/7/2023
B
Texas 9/7/2023
B
Illinois 9/7/2023
IA
Texas 9/7/2023
B
Indiana 9/7/2023
B
Virginia 9/7/2023
B
New Jersey 9/18/2023
B
West Virginia 9/7/2023
B
New York 9/7/2023
SRO Registrations
B
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Registered with this firm since 9/7/2023
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Registered with this firm since 9/7/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/06/2014 - 09/11/2023 | WILMINGTON, NC | |
B | 07/17/2014 - 09/11/2023 | WILMINGTON, NC | |
IA | 11/15/2006 - 02/21/2008 | RALEIGH, NC | |
B | 10/17/2006 - 02/21/2008 | RALEIGH, NC |
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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.