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Theodore C Swimmer

Citizens JMP Securities, LLC

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About Theodore C Swimmer

Theodore C. Swimmer is a financial professional with over 20 years of experience in the securities industry. Theodore has a broad range of experience, having worked with several firms including Wachovia Capital Markets, LLC, Citizens Securities, Inc., and Citizens Capital Markets. Currently, Theodore is registered with Citizens JMP Securities, LLC. Theodore's registration is active in all 50 states and the District of Columbia.

Firm Information

Theodore Swimmer is currently registered with Citizens JMP Securities, LLC. Citizens JMP Securities, LLC, a Limited Liability Company, was formed in 2002 and is approved in all 50 states and the District of Columbia. The firm has received one SEC registration and 51 state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

238

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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Theodore Swimmer’s Registration & Firm History

NC

08/01/2023 - Present

Citizens JMP Securities, LLC (CHARLOTTE NC)

MA

05/02/2016 - 08/01/2023

CITIZENS CAPITAL MARKETS (BOSTON MA)

MA

11/21/2011 - 05/17/2016

CITIZENS SECURITIES, INC. (BOSTON MA)

NC

09/28/2009 - 03/23/2010

FIDUS SECURITIES, LLC (CHARLOTTE NC)

NC

07/01/2003 - 04/02/2009

WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)

MO

10/01/1999 - 07/01/2003

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NC

07/31/1999 - 10/01/1999

FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)

NY

10/04/1995 - 06/08/1998

CHASE SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/01/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/20/2005

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/15/2013

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 10/03/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Theodore C Swimmer.
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