Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alexander? Claim Your ProfileAlexander Bullock Swartwood is a financial professional with over 25 years of experience in the financial services industry. Alexander is currently registered with Institutional Cash Distributors, LLC, a firm with an active Broker-Dealer registration. Alexander has previously held positions at several other firms including Columbia Management Investment Distributors, Inc., Morgan Stanley DW Inc., Lehman Brothers Inc., FIS Securities, Inc., MDS Securities Incorporated, and USLIFE Equity Sales Corp. Alexander holds a Series 7, Series 6, Series 63, Series 65, and Series 66 licenses. Alexander is registered with the states of Connecticut, Florida, Maine, Massachusetts, New Hampshire, New Jersey, New York, Rhode Island, and Vermont.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NV
03/07/2011 - Present
Institutional Cash Distributors, LLC (Reno NV)
MA
05/01/2010 - 02/08/2011
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. (BOSTON MA)
MA
11/17/2004 - 05/01/2010
COLUMBIA MANAGEMENT DISTRIBUTORS, INC. (BOSTON MA)
NY
10/26/1999 - 08/20/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
07/24/1998 - 10/26/1999
LEHMAN BROTHERS INC. (NEW YORK NY)
MA
01/02/1996 - 06/23/1998
FIS SECURITIES, INC. (BOSTON MA)
IN
03/28/1994 - 12/31/1995
MDS SECURITIES INCORPORATED (CARMEL IN)
NY
02/14/1994 - 03/26/1994
USLIFE EQUITY SALES CORP. (NEW YORK NY)
NY
09/07/1993 - 02/08/1994
NATWEST INVESTOR SERVICES CORPORATION (NEW YORK NY)
BOTH
Issued 04/20/2005
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/07/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/17/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1997
Series 7 - General Securities Representative Examination
BC
Issued 09/03/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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