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Jeff Robert Swarz

M.m. Dillon & Co. LLC

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About Jeff Robert Swarz

Jeff Robert Swarz is a financial advisor with over 30 years of experience in the industry. Jeff currently works at M.m. Dillon & Co. LLC, where he has been employed since March 24, 2011. Jeff has also previously worked at Caris & Company, Inc., Friedman, Billings, Ramsey & Co., Inc., Life Science Group, Inc., Credit Suisse First Boston Corporation, and Goldman, Sachs & Co. Jeff holds a Series 7, Series 24, and Series 63 license, as well as the Securities Industry Essentials Examination (SIE). Jeff is registered with the state of Connecticut as well as California, Colorado, Illinois, New York, and Texas.

Firm Information

Jeff Swarz is currently registered with M.m. Dillon & Co. LLC. M.m. Dillon & Co. LLC is a Limited Liability Company formed on March 26, 2010. The firm has been approved to operate in Arizona, California, Colorado, Connecticut, Illinois, New York, and Texas. They have also been approved for one SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

12

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Jeff Swarz’s Registration & Firm History

CT

03/24/2011 - Present

M.m. Dillon & Co. LLC (GREENWICH CT)

NY

09/09/2008 - 03/22/2011

CARIS & COMPANY, INC. (NEW YORK NY)

NY

02/05/2007 - 09/05/2008

FRIEDMAN, BILLINGS, RAMSEY & CO., INC. (NEW YORK NY)

CT

11/30/2000 - 01/23/2007

LIFE SCIENCE GROUP, INC. (GREENWICH CT)

NY

02/10/1992 - 07/29/1999

CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)

NY

01/21/1987 - 02/10/1992

GOLDMAN, SACHS & CO. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/05/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/08/2007

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/17/1987

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Jeff Robert Swarz.
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