Gerard Edwin Swienton

Current Employers

Employment History

• 05/2013 → Present
  Investment Leadership Llc
  Forest, VA
• 05/2013 → Present
  Purshe Kaplan Sterling Investments
  Albany, NY

Previous Registrations

• 2009-06-01 → 2013-06-19
  Morgan Stanley
  Lynchburg, VA
• 2006-02-21 → 2009-06-01
  Citigroup Global Markets Inc.
  Lynchburg, VA
  New York, NY
  Lynchburg, VA
• 1996-09-18 → 2006-02-21
  Legg Mason Wood Walker, Incorporated
  Lynchburg, VA

Other Businesses

1)INVESTMENT LEADERSHIP, LLC. INVESTMENT RELATED. 14805 Forest Road Suite 226 Forest, VA 24551; RIA dual registered hybrid model; Managing Partner/Chief Compliance Officer; Start May 2013; 170 Hours/month; 150 hours during trading hours; Owner and day-to-day operations of the RIA. 2) PURSHE KAPLAN STERLING INVESTMENTS; INVESTMENT RELATED; 14805 Forest Road Suite 226 Forest, VA 24551; broker-dealer; Registered Representative; Registered Representative is part of the hybrid model with the RIA; Start May 2013; 2 Hours/month; 2 hours during trading hours; Work with clients regarding securities transactions. 3)PKSF; INVESTMENT RELATED; 80 STATE ST, ALBANY, NY 12207; FIXED INSURANCE; AGENT; 8/2017; 1 HOUR/MONTH; 1 HOUR/MONTH DURING SECURITIES HOURS; OFFER AND SERVICE FIXED SOLUTIONS TO CLIENTS 4)St. Thomas More-Not investment related-3015 Roundelay Road, Lynchburg, VA 24502-Church-Finance Council-8/1/2019-1 hr/mth-0 during trading hrs-Finance council is a consultative body to aid the Pastor. The finance council shall see the proper financial records are maintained. No check writing authority. 5) AMHERST LAND DEVELOPMENT LLC; NOT INVESTMENT RELATED; 1131 Moreview Drive Lynchburg, VA 24502; Property Ownership; Managing Member; Start March 2013; 0 Hours/Month; 0 Hours during trading hours; This is an active corporation with the SCC but inactive in terms of business activity.

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-08-20
• S63 Uniform Securities Agent State Law Examination
  1985-12-02

Designations

Other Names

• Gerry E Swienton