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201 Mission Street Suite 1825, San Francisco, CA 94105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-01-03 |
| TX | RA | APPROVED | 2024-01-03 |
Branch Locations
507 Plum Street Suite 102, Syracuse, NY 13204 • United States
201 Mission Street Suite 1825, San Francisco, CA 94105 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Blue Water Capital Management, Llc | Syracuse | NY | 03/2007 | 03/2024 |
| North East Financial Alliance, Llc | Syracuse | NY | 03/2002 | Present |
| Stephen D. Swift, Sole Proprietor | Syracuse | NY | 02/1988 | Present |
| Perigon Wealth Management, Llc Dba Blue Water Capital Management | Syracuse | NY | 01/2024 | Present |
[1] NORTHEAST FINANICAL ALLIANCE, LLC; NOT-INVESTMENT RELATED; 507 PLUM STREET, SUITE 102, SYRACUSE, NY 13204; ENTITY CREATED FOR INSURANCE SALES; INSURANCE AGENT; START DATE 03/2002; APPROX 1 HR/MONTH, 0 HRS DURING SECURITIES TRADING. [2] STEPHEN SWIFT-SOLE PROPRIETOR; NOT-INVESTMENT RELATED; 507 PLUM STREET, SUITE 102, SYRACUSE, NY 13204; INSURANCE SALES; INSURANCE AGENT; START DATE 02/1988; APPROX 1 HR/MONTH, 0 HRS DURING SECURITIES TRADING. [3] BLUE WATER CAPITAL MANAGEMENT; INVESTMENT-RELATED; 507 PLUM STREET, SUITE 102, SYRACUSE, NY 13204; BLUE WATER CAPITAL MANAGEMENT IS A DBA FOR INVESTMENT ADVISORY SERVICES WITH PERIGON WEALTH MANAGEMENT, LLC; 01/2024; 160 HOURS PER MONTH, CONDUCTED DURING SECURITIES TRADING HOURS; FINANCIAL PLANNING AND INVESTMENT MANAGEMENT SERVICES PROVIDED TO CLIENTS.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1988-08-08 |
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