Mark F. Swank
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.
Mark Frederick Swank was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2018 - April 11, 2025
WILLIAM O'NEIL SECURITIES
December 8, 2014 - February 20, 2018
MKM PARTNERS LLC
May 11, 2009 - October 15, 2014
MACQUARIE CAPITAL (USA) INC.
February 9, 2004 - March 12, 2009
MORGAN STANLEY & CO. LLC
December 1, 2003 - February 18, 2004
RBC CAPITAL MARKETS, LLC
April 20, 2000 - April 2, 2003
MORGAN STANLEY & CO. LLC
October 13, 1993 - April 24, 2000
DEUTSCHE BANK SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WILLIAM O'NEIL SECURITIES
CRD#: 894 / SEC#: , 8-11763
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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