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James Swanton

Edward Jones

Somerville, NJ

CRD 6358344

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Employer firm

Edward Jones CRD 250

$1.01T regulatory AUM 28,751 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Edward Jones

12555 Manchester Rd, St. Louis, MO 63131 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-01-11
NJ RA APPROVED 2016-03-07
  • TX RA
    APPROVED_RES
    Since 2019-01-11
  • NJ RA
    APPROVED
    Since 2016-03-07

Branch Locations

68 East Main Street, Somerville, NJ 08876 • 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
Edward Jones St. Louis MO 07/2015 Present
Other Businesses

Clinton BNI Clinton, NJ Start date: 10/2/2017 Vice President Hours per week: 0 Hours during trading: 0 Lead the growth of the networking group

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-09-04
  • S66 Uniform Combined State Law Examination
    2015-09-04
Designations
  • Certified Financial Planner
Other Names
  • James P Swanton
  • James Swanton
  • James Patrick Swanton

View on SEC IAPD

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