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Nicole L. Swartout

CIBC WORLD MARKETS
New York, NY 10017
Some features on this profile are disabled
CRD#: 4463967
NS

Professional summary

Nicole Lynn Swartout is a registered financial professional currently at CIBC WORLD MARKETS CORP. located in New York, New York.

Nicole is registered as a RR (Registered Representative) and started their career in finance in 2001. Nicole has worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicole Lynn Swartout's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 9, 2009 - Present

CIBC WORLD MARKETS CORP.

Office #1: 300 Madison Avenue Sixth Floor, New York, NY 10017
BD
CRD#: 630
New York, NY
Past

November 23, 2001 - May 29, 2007

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
TORONTO,

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(2/9/2009)

Exams

State Security Law Exam
RR
Series 63
Date: 12/5/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 1/7/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/21/2001
General Securities Representative Examination
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

CW
CIBC WORLD MARKETS CORP.
CIBC OPPENHEIMER | OPPENHEIMER & CO., INC. | CIBC WORLD MARKETS CORP. | CIBC WORLD MARKETS | CIBC OPPENHEIMER CORP.

CRD#: 630 / SEC#: , 8-18333

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
300 Madison Avenue Sixth Floor, New York, NY 10017
Mailing Address
300 Madison Avenue Sixth Floor, New York, NY 10017
Phone number
(212) 856-4000
Established
Delaware since 07/31/1969
Firm type
Corporation
Fiscal year end
October
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CIBC INC.100% SHAREHOLDER
CONSOLA, PATRICK DCHIEF COMPLIANCE OFFICER1133831
DUBCZAK, ROMAN STEPANDIRECTOR5511542
GRIFFITH, MARVIN SCOTTPRINCIPAL FINANCIAL OFFICER1670889
PERRY, ACHILLES MGENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR4183476
PRICE, ERIC SCHIEF EXECUTIVE OFFICER & PRESIDENT1985843
TRABOULSI, ALFREDMANAGING DIRECTOR, HEAD US INVESTMENT BANKING6594715
ZELLERMAYER, MICHAELPRINCIPAL OPERATIONS OFFICER1662785

Disclosures

Regulatory Event76
Arbitration86

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

CIBC WORLD MARKETS CORP.

CRD#: 630New York, NY 10017

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