JOHN ROWDY SWAFFORD

JOHN ROWDY SWAFFORD is currently employed as a Broker and/or Investment Adviser at ALLSTATE FINANCIAL SERVICES, LLC located at 1350 SE Reed Market Rd Ste 201, Bend, OR, 97702-3489.

JOHN ROWDY SWAFFORD has worked at ALLSTATE FINANCIAL SERVICES, LLC since October 27, 2014

Disclosure History

JOHN ROWDY SWAFFORD has 4 Disclosure Event(s).

Date: April 18, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: September 16, 2010
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: September 16, 2010
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: February 23, 2010
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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