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HENRY AUSTIN SWAN JR
CRD#: 854255
IA
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EQUITABLE ADVISORS, LLCCRD#: 6627 1515 W. 22ND STREET
SUITE 300
OAK BROOK, IL 60523
SUITE 300
OAK BROOK, IL 60523
View By:
1/28/2025
Customer Dispute
Pending
State Registrations
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Arizona 11/13/2000
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Indiana 2/3/1998
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Georgia 10/2/1998
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Indiana 11/29/2011
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Illinois 12/17/1983
B
Texas 3/15/2022
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Illinois 11/24/1999
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Texas 3/18/2022
SRO Registrations
B
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Registered with this firm since 11/24/1999
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Registered with this firm since 12/17/1983
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/06/1978 - 01/05/2000 | NEW YORK, NY | |
B | 10/20/1980 - 12/25/1981 |
NEW YORK, NY
07/06/1978 - 01/05/2000
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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.