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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Timothy? Claim Your ProfileTimothy Paul Swiat is a financial advisor with over 20 years of experience in the financial industry. He is currently registered with Morgan Stanley in Deerfield, IL. Timothy has a broad range of experience and is registered with a variety of states. Timothy's expertise includes investment banking, securities, and commodities. He has earned several professional designations, including the Series 7, 3, 66, 24, 4, 53, 9, 10, 14, and 79TO. Timothy's experience also includes working with a wide range of clients, including individuals, businesses, and institutions. He is dedicated to providing personalized financial advice and guidance to help clients achieve their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
IL
08/21/2014 - Present
Morgan Stanley (Deerfield IL)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)
NY
04/28/2005 - 04/02/2007
MORGAN STANLEY DW INC. (PURCHASE NY)
VA
12/20/2001 - 05/06/2005
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
IL
09/12/2001 - 04/15/2005
TERRA SECURITIES CORPORATION (SCHAUMBURG IL)
CT
07/12/2001 - 09/12/2001
INTERACTIVE BROKERS LLC (GREENWICH CT)
IL
03/29/2000 - 06/28/2001
WEB STREET SECURITIES, INC. (DEERFIELD IL)
NJ
06/21/1999 - 01/18/2000
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BOTH
Issued 07/09/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/06/2007
Series 14 - Compliance Officer Examination
BC
Issued 06/20/2003
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/08/2002
Series 4 - Registered Options Principal Examination
BC
Issued 01/18/2001
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 01/20/2009
Series 3 - National Commodity Futures Examination
BC
Issued 06/19/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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