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AS

Alexander B. Swartwood

INSTITUTIONAL CASH DISTRIBUTORS
New York, NY 10167
Some features on this profile are disabled
CRD#: 2379355
AS

Professional summary

Alexander Bullock Swartwood is a registered financial professional currently at INSTITUTIONAL CASH DISTRIBUTORS, LLC located in New York, New York.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 1993. Alexander has worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alexander Bullock Swartwood's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 7, 2011 - Present

INSTITUTIONAL CASH DISTRIBUTORS, LLC

Office #1: 245 Park Avenue, New York, NY 10167
BD
CRD#: 149635
New York, NY
Past

May 1, 2010 - February 8, 2011

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA
CRD#: 108257
MINNEAPOLIS, MN
Past

May 1, 2010 - February 8, 2011

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BD
CRD#: 840
BOSTON, MA
Past

April 22, 2005 - May 1, 2010

BOFA ADVISORS, LLC

RIA
CRD#: 107900
BOSTON, MA
Past

April 21, 2005 - April 22, 2005

COLUMBIA MANAGEMENT ADVISORS, INC.

RIA
CRD#: 105842
BOSTON, MA
Past

November 17, 2004 - May 1, 2010

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

October 26, 1999 - August 20, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

July 24, 1998 - October 26, 1999

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

January 2, 1996 - June 23, 1998

FIS SECURITIES, INC.

BD
CRD#: 30533
BOSTON, MA
Past

March 28, 1994 - December 31, 1995

CONSECO SECURITIES, INC.

BD
CRD#: 29367
CARMEL, IN
Past

February 14, 1994 - March 26, 1994

USLIFE EQUITY SALES CORP.

BD
CRD#: 7962
NEW YORK, NY
Past

September 7, 1993 - February 8, 1994

FLEET ENTERPRISES, INC.

BD
CRD#: 17434
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(3/8/2011)
RR
Florida
(1/13/2022)
RR
Maine
(3/8/2011)
RR
Massachusetts
(3/8/2011)
RR
New Hampshire
(3/9/2011)
RR
New Jersey
(4/6/2011)
RR
New York
(4/4/2011)
RR
Rhode Island
(3/10/2011)
RR
Vermont
(3/14/2011)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/20/2005
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/7/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/17/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/3/1993
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IC
INSTITUTIONAL CASH DISTRIBUTORS, LLC
INSTITUTIONAL CASH DISTRIBUTORS, LLC

CRD#: 149635 / SEC#: , 8-68161

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
245 Park Avenue, New York, NY 10167
Mailing Address
245 Park Avenue, New York, NY 10167
Phone number
(646) 430-6030
Established
California since 08/08/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ICD INTERMEDIATE HOLDCO 2 LLCHOLDING COMPANY
BRUNER, CHRISTIAN ADAMBOARD MEMBER5661505
CLACK, AMYBOARD MEMBER4882071
HAZARD, VICTOR JAMES IVCEO / COO1871503
KAHNEY, DOUGLAS RYANCHIEF COMPLIANCE OFFICER4903813
NEWTON, THOMAS PHILLIPMANAGING DIRECTOR2114728
PITTINSKY, JONATHAN DAVIDCFO/FINOP4291263
SERRAO, ASHLEY NEILBOARD MEMBER5360541
WOOD, ELISABETH KIRBYBOARD MEMBER4929181

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.

Company Information

INSTITUTIONAL CASH DISTRIBUTORS, LLC

CRD#: 149635New York, NY 10167

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