Lewis B. 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.
Lewis B. Swift III, who also goes by Lewis Burrie Swift III, Lewis Burrie Swift, Lewis B. Swift III Iii, Lewis Burrie Swift Iii Iii, was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1971. Lewis had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 000, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2009 - August 6, 2020
MORGAN STANLEY
June 1, 2009 - August 6, 2020
MORGAN STANLEY
June 22, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 2, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
January 13, 1981 - July 1, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 31, 1980 - February 12, 1981
UBS FINANCIAL SERVICES INC.
April 11, 1978 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
July 5, 1977 - March 9, 1978
L. F. ROTHSCHILD & CO. INCORPORATED
January 4, 1977 - July 11, 1977
LOEB, RHOADES & CO. INC.
October 15, 1975 - January 4, 1977
EDWARDS & HANLY
June 14, 1971 - October 10, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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 5
Date: 10/26/1981
Interest Rate Options ExaminationPC
Date: 1/21/1981
AMEX Put and Call ExamSeries 000
Date: 6/10/1971
General Securities Principal ExaminationSeries 1
Date: 6/10/1971
Registered Representative ExaminationSeries 40
Date: 8/22/1977
Registered Principal ExaminationSeries 12
Date: 7/19/1977
NYSE Branch Manager ExaminationCurrent Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
