Jeff R. Swarz
Professional summary
Jeff Robert Swarz is a registered financial professional currently at M.M. DILLON & CO. LLC located in Greenwich, Connecticut.
Jeff is registered as a RR (Registered Representative) and started their career in finance in 1987. Jeff has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeff Robert Swarz's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 24, 2011 - Present
M.M. DILLON & CO. LLC
Office #1: One Sound Shore Drive Suite 100, Greenwich, CT 06830September 9, 2008 - March 22, 2011
CARIS & COMPANY, INC.
February 5, 2007 - September 5, 2008
B. RILEY SECURITIES, INC.
November 30, 2000 - January 23, 2007
LIFE SCIENCE GROUP, INC.
February 10, 1992 - July 29, 1999
CREDIT SUISSE SECURITIES (USA) LLC
January 21, 1987 - February 10, 1992
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/14/2015)
(5/15/2015)
(9/16/2011)
(9/23/2015)
(5/18/2015)
(6/10/2015)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
M.M. DILLON & CO. LLC
CRD#: 19878 / SEC#: , 8-37893
Contact information
FINRA licenses (8 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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