Timothy R. Swift
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.
Timothy Reginald Swift was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1996. Timothy had worked at 11 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 55, Series 7, Series 6, Series 52, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2015 - March 26, 2018
CANTOR FITZGERALD & CO.
March 18, 2013 - August 3, 2015
COWEN AND COMPANY
June 11, 2012 - January 2, 2013
TP ICAP GLOBAL MARKETS AMERICAS LLC
April 27, 2009 - June 8, 2012
R.W.PRESSPRICH & CO.
January 24, 2007 - November 11, 2008
CRT CAPITAL GROUP LLC
January 5, 2006 - January 19, 2007
ATLANTIC EQUITIES, LLC
November 18, 2003 - December 13, 2005
FULCRUM GLOBAL PARTNERS LLC
February 5, 2001 - November 29, 2001
HEARTLAND SECURITIES CORP.
March 30, 1999 - February 27, 2001
PREFERREDTRADE, INC.
September 1, 1997 - May 20, 1998
BROWNCO, LLC
July 25, 1996 - December 2, 1996
AMERIPRISE ADVISOR SERVICES, 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: 3/3/2000
Limited Representative-Equity Trader ExamCurrent Firm
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
Red Flags
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