Stephen Romney Swensen (CRD#:2885578) was a registered broker and investment advisor.   Broker’s Background He entered the securities industry in 1997 and previously worked with Robert W. Baird & Co.; Northwestern Mutual Investment Services; Park Avenue Securities, LLC; Securian Financial Services, Inc.; Commonwealth Financial Network; Summit Brokerage Services, Inc.; Allegis Investment Services, LLC; J.W Cole […]

Allyson Trantum (CRD#: 2896970) is a dually registered Broker and Investment Advisor at J.W. Cole Financial, Inc. in Temecula, CA. Broker’s Background She entered the securities industry in 1997 and previously worked for LPL Financial, LLC; Edward Jones; MetLife Securities, Inc.; and Metropolitan Life Insurance Company. Current And Past Allegations Of Conduct Leading To Investment […]