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Current Employers
Swbc Investment Company

9311 San Pedro Avenue Suite 600, San Antonio, TX 78216-4459 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2007-12-07
  • TX RA
    APPROVED_RES
    Since 2007-12-07

Branch Locations

9311 San Pedro Avenue Suite 600, San Antonio, TX 78216-4459 • United States

Mankato, MN • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Swbc Investment Services, Llc San Antonio TX 10/2007 Present
Swbc Investment Company San Antonio TX 10/2007 Present
  • 10/2007 → Present
    Swbc Investment Services, Llc
    San Antonio, TX
  • 10/2007 → Present
    San Antonio, TX
Previous Registrations
  • 2005-09-19 → 2007-07-10
    Cuna Brokerage Services, Inc.
    Mankato, MN
    Madison, WI
    Mankato, MN
    Waverly, IA
Other Businesses

IAR of affiliated Registered Investment Advisor - SWBC Investment Company Licensed Insurance Agent - SWBC Investment Services, LLC

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1983-07-06
  • S63 Uniform Securities Agent State Law Examination
    1983-07-06
Designations

View on SEC IAPD

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