Vaughn B. Swartz
Professional summary
Vaughn Brian Swartz, who also goes by Vaughn Swartz, is a registered financial professional currently at RABO SECURITIES USA, INC. located in New York, New York.
Vaughn is registered as a RR (Registered Representative) and started their career in finance in 1997. Vaughn has worked at 9 firms and has passed the Series 63, Series 52TO, Series 79TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 6, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Vaughn Brian Swartz's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 12, 2016 - Present
RABO SECURITIES USA, INC.
Office #1: 151 West 42nd Street 8th Floor, New York, NY 10036January 17, 2012 - February 1, 2016
TD SECURITIES (USA) LLC
December 6, 2007 - January 6, 2012
PNC WEALTH MANAGEMENT LLC
December 6, 2007 - January 6, 2012
PNC CAPITAL MARKETS LLC
December 6, 2007 - January 6, 2012
HARRIS WILLIAMS
January 14, 2005 - November 6, 2007
WELLS FARGO SECURITIES, LLC
May 7, 2003 - January 3, 2005
RBC CAPITAL MARKETS CORPORATION
February 4, 1998 - June 19, 2001
RBC CAPITAL MARKETS, LLC
September 26, 1997 - November 3, 1997
PRUCO SECURITIES, 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
(4/12/2016)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/19/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
RABO SECURITIES USA, INC.
CRD#: 122657 / SEC#: , 8-65525
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UTRECHT-AMERICA HOLDINGS, INC | SOLE SHAREHOLDER | |
| AMIN, SHREYA | SECRETARY | 7368182 |
| BASSETT, DAVID FRANCIS | CHAIRMAN | 2802027 |
| CHESTER, WILLIAM PETER | DIRECTOR | 5868288 |
| DEMAZURE PELLETIER, CHRISTINE MARIE | DIRECTOR | 5481370 |
| KITTEL, CHRISTOPHER FREDERICK | CHIEF COMPLIANCE OFFICER | 2718043 |
| KORMANEK, SHAWN PATRICK | DIRECTOR | 7310810 |
| LAMPER, KATHERINE S | DIRECTOR | 5202959 |
| LAZAROV, DUSAN OBRAD | DIRECTOR | 7904295 |
| MARTENS, ANDREA MARIE | FINANCIAL AND OPERATIONS PRINCIPAL | 1187593 |
| PASDAR, NADER | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4702711 |
Red Flags
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