linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

William Mckenzie Swenson

ERG Securities (us) LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you William? Claim Your Profile

About William Mckenzie Swenson

William Mckenzie Swenson is a financial advisor based in Norwalk, CT. He is a licensed registered representative with ERG Securities (us) LLC, where William has been employed since 2016. William has over 20 years of experience in the financial services industry, and has held previous positions with firms such as Canaccord Genuity Inc., North Sea Securities L.P., Guggenheim Securities, LLC, and CIBC World Markets Corp. William is a Series 7, 24, and 63 licensed representative.

Firm Information

William Swenson is currently registered with ERG Securities (us) LLC. ERG Securities (us) LLC is a Limited Liability Company formed in 2002. The firm is registered with the SEC and in 15 states.

Not reported

Assets Under Management

Not reported

Total Clients

10

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

William Swenson’s Registration & Firm History

CT

06/30/2016 - Present

ERG Securities (us) LLC (Norwalk CT)

NY

03/17/2014 - 06/19/2015

CANACCORD GENUITY INC. (NEW YORK NY)

NY

03/07/2012 - 04/10/2014

NORTH SEA SECURITIES L.P. (LOCUST VALLEY NY)

NY

12/08/2010 - 12/12/2011

GUGGENHEIM SECURITIES, LLC (NEW YORK NY)

NY

11/05/2004 - 07/03/2007

CIT CAPITAL SECURITIES LLC (NEW YORK NY)

NY

01/28/1999 - 03/06/2003

CIBC WORLD MARKETS CORP. (NEW YORK NY)

NY

11/03/1997 - 03/27/1998

CIBC OPPENHEIMER CORP. (NEW YORK NY)

NY

05/14/1996 - 11/03/1997

CIBC WOOD GUNDY SECURITIES CORP. (NEW YORK NY)

NA

01/21/1986 - 12/19/1987

CITICORP SECURITIES MARKETS, INC.

Not sure if William Mckenzie Swenson is right for you?

Licenses & Designations

BC

Issued 12/02/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/01/1999

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/13/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for William Mckenzie Swenson.
Not sure if William Mckenzie Swenson is right for you?