Articles Tagged with Stephen Swarbrick

Stephen SwarbrickPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 27, 2017 indicate that California-based Questar Capital broker/adviser Stephen Swarbrick has been named in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Swarbrick (CRD# 2444058).

Stephen Swarbrick has spent 22 years in the securities industry and has been registered with Questar Capital in Roseville, California since 2012. Previous registrations include Woodbury Financial Services in Roseville, California; WM Financial Services in Irvine, California; and Great Western Financial Services in Northridge, California. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is a registered broker and investment adviser with eight US states and territories: Arizona, California, Florida, Minnesota, Nevada, Oregon, Pennsylvania, Utah and Virginia.

According to his BrokerCheck report, he has received one pending customer complaint.