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Detailed Report
JOHN HENRY SWON IV
N/A N/A N/A, JOHN SWON
CRD#: 5591686
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
20102012201420162018202020222024IAFOCUS FINANCIAL (CRD# 116140)2013 - 2021 (8 years)IAEDWARD JONES (CRD# 250)2010 - 2010 (<1 year)IARBC CAPITAL MARKETS CORPORATION (CRD# 31194)2009 - 2010 (1 year)
Disclosure(s)
View By:
1/30/2023
Regulatory
Final
7/6/2021
Regulatory
Final
4/16/2021
Employment Separation After Allegations
4/16/2021
Employment Separation After Allegations
4/1/2021
Customer Dispute
Settled
Previous Registration(s)
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 01/03/2013 - 04/27/2021 FOCUS FINANCIAL (CRD#:116140) BLOOMINGTON, MN
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 09/13/2010 - 10/20/2010 EDWARD JONES (CRD#:250) ST. LOUIS, MO
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 04/10/2009 - 04/12/2010 RBC CAPITAL MARKETS CORPORATION (CRD#:31194) 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.
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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
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.