John Howell Swift

Current Employers

Employment History

• 06/2005 → 01/2018
  Neuberger Berman, Llc
  Newport Beach, CA
• 11/2018 → 09/2019
  Wells Fargo Clearing Services, Llc
  Irvine, CA
• 02/2018 → 10/2018
  Unemployed
  San Juan Capistrano, CA
• 10/2019 → Present
  Lpl Financial, Llc
  Newport Beach, CA
• 01/2021 → Present
  Pence Financial Group
  Newport Beach, FL

Previous Registrations

• 2021-02-18 → 2022-08-25
  Pence Financial Group, Llc
  Newport Beach, CA
• 2018-11-14 → 2019-09-09
  Wells Fargo Clearing Services, Llc
  Irvine, CA
  Irvine, CA
• 2006-03-09 → 2018-02-06
  Neuberger Berman Bd Llc
  Newport Beach, CA
  New York, NY
  Dallas, TX
  San Juan Capistrano, CA
  Newport Beach, CA
  Los Angeles, CA

Other Businesses

1. 10/18/2019 - Swift Family Trust - Not Investment Related - Home Based - Act in a Fiduciary Capacity - Co-Trustee - Started 2006 - Time Spent 0%. 2. 10/18/2019 - Pence Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 1/25/2021 - Pence Capital Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Admin. / Vice President of Sales - Started 12/02/2019 - 15 Hours Per Month/0 Hours During Securities Trading - I provide administrative support to Pence Capital Management, an independent investment advisor firm. I started this business activity in 12/2019. I expect to spend approximately 15 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams

• S66 Uniform Combined State Law Examination
  2006-01-10
• S63 Uniform Securities Agent State Law Examination
  1993-02-02

Other Names

• John Swift