Jeremy J. Swetzoff
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.
Jeremy Jason Swetzoff, who also goes by Jeremy J Swetzoff, was a registered financial professional .
Jeremy is a previously registered financial professional and started their career in finance in 1999. Jeremy had worked at 4 firms and has passed the Series 63, SIE, Series 3 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
May 7, 2018 - December 22, 2023
UNICREDIT CAPITAL MARKETS LLC
December 1, 2011 - January 30, 2018
RBC CAPITAL MARKETS, LLC
June 2, 2009 - November 28, 2011
CREDIT AGRICOLE SECURITIES (USA) INC.
March 24, 1999 - March 28, 2008
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
UNICREDIT CAPITAL MARKETS LLC
CRD#: 7789 / SEC#: , 8-23081
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
