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John Smith Swarts

Mml Investors Services, LLC

Newtown Square, PA

West Chester, PA

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Current Employers
Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
DE RA APPROVED 2017-03-25
PA RA APPROVED 2017-03-25
  • DE RA
    APPROVED
    Since 2017-03-25
  • PA RA
    APPROVED
    Since 2017-03-25

Branch Locations

16 Campus Blvd Suite 200, Newtown Square, PA 19073 • United States

West Chester, PA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Metlife Securities Plymouth Meeting PA 10/2011 Present
Mml Investors Services, Llc Newtown Square PA 03/2017 Present
Previous Registrations
  • 2013-07-16 → 2017-03-25
    Msi Financial Services, Inc.
    Plymouth Meeting, PA
    Newtown Square, PA
    Newark, DE
    Plymouth Meeting, PA
    Plymouth Meeting, PA
  • 2010-09-07 → 2012-02-14
    Independent Alliance Advisors, Llc
    Malvern, PA
  • 2005-10-04 → 2009-02-24
    Cbf Advisors, Llc
    Princeton, NJ
  • 2004-01-02 → 2004-03-22
    Bny Mellon Advisors, Inc.
    Malvern, PA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-06-27
S63 Uniform Securities Agent State Law Examination 1995-06-15
  • S65 Uniform Investment Adviser Law Examination
    1995-06-27
  • S63 Uniform Securities Agent State Law Examination
    1995-06-15
Other Names
  • John S Swarts

View on SEC IAPD

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CETERA INVESTMENT ADVISERS LLC
GWN SECURITIES INC.
EQUUS CAPITAL PARTNERS, LTD.
LOGAN CAPITAL MANAGEMENT, INC.

Other Investors

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MIGUEL L BIAMON
Tyler Andrew Pugliese
TIMOTHY ANDREW CHISHOLM
LEE SCOTT GROUT
RYAN L KIRK
Robert Kenneth Kuberski
David Francis Lynch

Other Offices

UP FINTECH ASSET MANAGEMENT · NEWTOWN SQUARE, PA
NEWSQUARE CAPITAL, LLC · NEWTOWN SQUARE, PA
LYNCH INVESTMENT PLANNING, LLC · NEWTOWN SQUARE, PA
MML INVESTORS SERVICES, LLC · Newtown Square, PA
PRIVATE ADVISOR GROUP, LLC · Newtown Square, PA
CETERA INVESTMENT ADVISERS LLC · NEWTOWN SQUARE, PA
GWN SECURITIES INC. · NEWTOWN SQUARE, PA
EQUUS CAPITAL PARTNERS, LTD. · NEWTOWN SQUARE, PA

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