Michael T. Swail
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.
Michael Taylor Swail was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2005. Michael had worked at 3 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2012 - April 4, 2012
TUDOR PICKERING HOLT & CO ADVISORS LP
April 12, 2007 - April 4, 2012
TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC
October 18, 2005 - March 22, 2007
LEHMAN BROTHERS 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
Current Firm
TUDOR PICKERING HOLT & CO ADVISORS LP
CRD#: 158253 / SEC#: , 8-68888
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERELLA WEINBERG PARTNERS GROUP LP | OWNER | |
| BARANCIK, GARY SCOTT | CHIEF FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1728326 |
| BEDNAR, ANDREW THOMAS | PRESIDENT | 1856221 |
| GILLILAND, LANCE GALEN | PRINCIPAL; HEAD OF M&A | 2013135 |
| GOTTSCHALK, ALEXANDRA K | FINANCIAL OPERATIONS PRINCIPAL, CHIEF ACCOUNTING OFFICER, AND CONTROLLER | 5864478 |
| HOLT, ROBERT MAYNARD III | CEO | 1979093 |
| POLEMENI, MARK ANDREW ESQ | CHIEF COMPLIANCE OFFICER & CHIEF REGULATORY COUNSEL | 5070584 |
| TUDOR, ROBERT BEALL III | CHAIRMAN | 1736832 |
Red Flags
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