Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Milo Swartwout has been active in the financial services industry since 1992. Currently, James is registered with Robinhood Financial, LLC and Robinhood Securities, LLC. James has held previous registrations with several firms, including ALLY INVEST SECURITIES LLC, SCOTTRADE, INC., TRADE MONSTER, E*TRADE CLEARING LLC, E*TRADE SECURITIES LLC, FIDELITY BROKERAGE SERVICES, INC., AMSOUTH INVESTMENT SERVICES, INC., CHARLES SCHWAB & CO., INC., QUEST CAPITAL STRATEGIES, INC. and ROBERT TODD FINANCIAL CORP.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
FL
06/30/2022 - Present
Robinhood Financial, LLC (Lake Mary FL)
FL
04/17/2018 - 03/28/2019
ALLY INVEST SECURITIES LLC (FORT LAUDERDALE FL)
MO
03/14/2014 - 12/21/2017
SCOTTRADE, INC. (ST. LOUIS MO)
IL
04/17/2008 - 03/04/2014
TRADE MONSTER (CHICAGO IL)
NJ
01/03/2006 - 04/09/2007
E*TRADE CLEARING LLC (JERSEY CITY NJ)
IL
04/15/2005 - 04/09/2007
E*TRADE SECURITIES LLC (CHICAGO IL)
NJ
08/14/2002 - 06/17/2005
E*TRADE CLEARING LLC (JERSEY CITY NJ)
NJ
01/14/1999 - 09/03/2002
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
RI
04/05/1996 - 01/05/1999
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
AL
09/01/1994 - 03/12/1996
AMSOUTH INVESTMENT SERVICES, INC. (BIRMINGHAM AL)
TX
10/21/1991 - 06/03/1994
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
CA
06/03/1991 - 10/31/1991
QUEST CAPITAL STRATEGIES, INC. (LAGUNA HILLS CA)
NY
03/14/1991 - 06/11/1991
ROBERT TODD FINANCIAL CORP. (NEW YORK NY)
FL
07/26/1990 - 11/06/1990
LEHWALD, OROSEY & PEPE INCORPORATED (BOCA RATON FL)
BOTH
Issued 07/06/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/10/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/26/2002
Series 30 - NFA Branch Manager Examination
BC
Issued 07/03/2002
Series 27 - Financial and Operations Principal Examination
BC
Issued 06/06/1995
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/19/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 09/03/1992
Series 4 - Registered Options Principal Examination
BC
Issued 02/03/1992
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/2012
Series 3 - National Commodity Futures Examination
BC
Issued 07/16/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/24/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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