Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Frederick Swank is a financial professional with over 25 years of experience in the industry. Mark is currently registered with William O'Neil Securities, a firm with a strong reputation in the financial services industry. Prior to his current role, Mark held positions with MKM PARTNERS LLC, MACQUARIE CAPITAL (USA) INC., MORGAN STANLEY & CO. INCORPORATED, RBC DAIN RAUSCHER INC., and DEUTSCHE BANK SECURITIES INC. Mark is a Series 7 and Series 63 licensed representative, as well as a SIE exam holder. He is registered in Connecticut, New Jersey, New York, Pennsylvania, and Virginia.
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
NY
03/02/2018 - Present
William O'Neil Securities (NEW YORK NY)
CT
12/08/2014 - 02/20/2018
MKM PARTNERS LLC (STAMFORD CT)
NY
05/11/2009 - 10/15/2014
MACQUARIE CAPITAL (USA) INC. (NEW YORK NY)
NY
02/09/2004 - 03/12/2009
MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)
NY
12/01/2003 - 02/18/2004
RBC DAIN RAUSCHER INC. (NEW YORK NY)
NY
04/20/2000 - 04/02/2003
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
10/13/1993 - 04/24/2000
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
BC
Issued 11/15/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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