Cedric M. Swirsky
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Cedric Marchell Swirsky was a registered financial professional .
Cedric is a previously registered financial professional and started their career in finance in 1993. Cedric had worked at 12 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2005 - August 11, 2005
FIDELITY ASSET MANAGEMENT, INC.
October 6, 1998 - November 10, 2014
GLOBAL-AMERICAN INVESTMENTS, INC.
March 3, 1998 - August 6, 1998
CGS FINANCIAL INC.
June 23, 1997 - February 5, 1998
NEW WORLD SECURITIES, INC.
July 30, 1996 - February 21, 1997
HUNTER WORLD MARKETS, INC.
May 15, 1996 - November 19, 1997
TITAN ASSET MANAGEMENT GROUP, INC.
March 29, 1996 - June 19, 1996
NORTHRIDGE CAPITAL CORPORATION
December 18, 1995 - February 21, 1996
WALDRON & CO., INC.
September 26, 1995 - June 12, 1996
ISLAND SECURITIES, INC.
December 12, 1994 - February 7, 1995
MERCHANT BANKING SERVICES, INC.
June 10, 1994 - August 22, 1994
MERCHANT BANKING SERVICES, INC.
June 15, 1993 - November 2, 1994
SAN CLEMENTE SECURITIES, INC.
April 2, 1993 - June 7, 1993
AEGON USA SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 4/24/2000
Limited Representative-Equity Trader ExamCurrent Firm
FIDELITY ASSET MANAGEMENT, INC.
CRD#: 40925 / SEC#: , 8-49243
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHIKAN YU | STOCKHOLDER | |
| NGUYEN, TUYEN LINH | CEO/CCO; SROP/CROP | 2117656 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
