JAMES E SWINNEY is an investment adviser representative (IAR) with state registration records since 2008, appearing at 4 firms. Currently registered with B. RILEY WEALTH ADVISORS, INC..
| Firm | From | To | Current |
|---|---|---|---|
| B. RILEY WEALTH ADVISORS, INC. | 2022-07-27 | present | Yes |
| MORGAN STANLEY SMITH BARNEY LLC | 2015-06-26 | 2020-08-06 | — |
| MUTUAL OF OMAHA INVESTOR SERVICES, INC. | 2012-06-26 | 2015-07-24 | — |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2008-11-26 | 2010-09-28 | — |