Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Matthew? Claim Your ProfileMatthew Swing is a financial professional with over 6 years of experience in the securities industry. Matthew currently holds a Series 63 and Series 79 license and is registered with the state of New York. Matthew previously worked at B. Riley Securities, Inc., FocalPoint Securities, LLC and Duff & Phelps Securities LLC. Matthew is currently employed with Finalis Securities LLC.
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
06/26/2024 - Present
Finalis Securities LLC (NEW YORK NY)
NY
07/06/2022 - 06/01/2023
B. RILEY SECURITIES, INC. (NEW YORK NY)
NY
10/09/2019 - 08/11/2022
FOCALPOINT SECURITIES, LLC (New York NY)
NY
06/29/2016 - 09/13/2019
DUFF & PHELPS SECURITIES LLC (NEW YORK NY)
BC
Issued 01/09/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/29/2016
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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