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CARL EDWARD SWANSON
CRD#: 5884453
IA
B
CADARET GRANT & CO INCCRD#: 10641 300 W. Wilson Bridge Road
Suite 300
Worthington, OH 43085
Suite 300
Worthington, OH 43085
0
Disclosures
13
Years of Experience
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State Registrations
B
Alabama 11/30/2023
B
North Carolina 12/7/2023
B
New Hampshire 11/30/2023
B
Ohio 11/30/2023
B
New York 11/30/2023
IA
Ohio 12/2/2023
SRO Registrations
B
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IA
Registered with this firm since 12/2/2023
B
Registered with this firm since 11/30/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/18/2017 - 12/06/2023 | WORTHINGTON, OH | |
B | 12/18/2017 - 12/06/2023 | WORTHINGTON, OH | |
IA | 11/04/2013 - 12/18/2017 | WORTHINGTON, OH | |
B | 04/22/2011 - 12/18/2017 | WORTHINGTON, OH |
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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.