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John Scott McSwain

Southstate|duncanwilliams Securities Corp.

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About John Scott McSwain

John McSwain is a financial advisor with over 30 years of experience in the industry. John is currently registered with Southstate|duncanwilliams Securities Corp. Previously, John worked at Vining-Sparks IBG, LLC, SunTrust Robinson Humphrey, Inc., NBC Capital Markets Group, Inc., Paine Webber Incorporated, Bear, Stearns & Co. Inc., and Progressive Capital Securities Corporation. John is licensed to sell securities in 27 states. John holds Series 7, 63, 72, 79TO, and SIE licenses.

Firm Information

John McSwain is currently registered with Southstate|duncanwilliams Securities Corp.. Southstate|duncanwilliams Securities Corp. is a corporation formed in March 1969. The firm is registered in 49 states and is approved for registration with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

81

Total Financial Advisors

Services Offered

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.

Fee Structure

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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John McSwain’s Registration & Firm History

TN

06/06/2022 - Present

Southstate|duncanwilliams Securities Corp. (MEMPHIS (SHELBY) TN)

TN

02/13/2008 - 05/20/2022

VINING-SPARKS IBG, LLC (MEMPHIS TN)

TN

02/22/2005 - 10/29/2007

SUNTRUST ROBINSON HUMPHREY, INC. (MEMPHIS TN)

TN

05/18/1995 - 02/22/2005

NBC CAPITAL MARKETS GROUP, INC. (MEMPHIS TN)

NJ

04/24/1992 - 05/23/1995

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

12/09/1991 - 04/02/1992

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NA

07/23/1991 - 08/29/1991

PROGRESSIVE CAPITAL SECURITIES CORPORATION

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Licenses & Designations

IA

Issued 06/18/1992

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/12/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 72 - Government Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/18/1991

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for John Scott McSwain.
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