Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Joseph Swiatlo has been working in the financial services industry since November 4, 1998. Robert is currently registered with Mizuho Securities USA LLC in Chicago, Illinois and has been registered there since December 18, 2012. Robert has passed the Series 63, 4, 24, 27, 57TO, 99TO, SIE, 3, 55 and 7 exams. Robert has previously been registered with LightSpeed Trading, LLC, Greenmoor Financial Group, LLC, Merrill Lynch Professional Clearing Corp., Botta Specialist, LLC, PAX Clearing Corporation, Botta Capital Management, LLC and PAX Clearing Company Limited Partnership.
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.
1
2
IL
12/18/2012 - Present
Mizuho Securities USA LLC (CHICAGO IL)
IL
12/01/2011 - 11/27/2012
LIGHTSPEED TRADING, LLC (CHICAGO IL)
MA
11/23/2010 - 12/05/2011
GREENMOOR FINANCIAL GROUP, LLC (BOSTON MA)
IL
06/15/2005 - 12/05/2008
MERRILL LYNCH PROFESSIONAL CLEARING CORP. (CHICAGO IL)
IL
03/10/2005 - 05/18/2006
BOTTA SPECIALIST, LLC (CHICAGO IL)
IL
09/01/2000 - 06/28/2005
PAX CLEARING CORPORATION (CHICAGO IL)
IL
03/10/2005 - 04/28/2005
BOTTA CAPITAL MANAGEMENT, LLC (CHICAGO IL)
IL
10/29/1996 - 09/01/2000
PAX CLEARING COMPANY LIMITED PARTNERSHIP (CHICAGO IL)
BC
Issued 12/30/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/30/2000
Series 4 - Registered Options Principal Examination
BC
Issued 08/20/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/18/1996
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/2012
Series 3 - National Commodity Futures Examination
BC
Issued 11/03/2011
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/29/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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