MS
Michael K. Swinney
SCHRODER FUND ADVISORS LLC
New York, NY 10018-3706
Some features on this profile are disabled
CRD#: 5404041
MS
Professional summary
Michael Kevin Ian Swinney, who also goes by Michael Swinney, is a registered financial professional currently at SCHRODER FUND ADVISORS LLC located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2007. Michael has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael Swinney
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.
1) Thompson, Siegel & Walmsley LLC; Decatur, GA; Investment Related, Began 06/20/2016; Buy-side value equity (U.S. & non-U.S.) and core plus fixed income; Director of Consultant Relations; Work closely with institutional investment consulting community to provide them with qualitative and quantitative data and insights related to TS & W's investment strategies,; 200 hours per month with 130 hours during securities trading hours. IN ADDITION TO BEING AN INVESTMENT ADVISOR REPRESENTATIVE OF THOMPSON, SIEGEL & WALMSLEY LLC, THIS ASSOCIATE IS A REGISTERED REPRESENTATIVE OF FUNDS DISTRIBUTOR, LLC, AN UNAFFILIATED BROKER DEALER. THE ASSOCIATE IS A REGISTERED REPRESENTATIVE FOR PURPOSES OF FUNDS DISTRIBUTOR, LLC
CRS (Client Relationship Summary) - BD
Click below to view Michael Kevin Ian Swinney'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®
NoneExperience
Current
July 26, 2023 - Present
SCHRODER FUND ADVISORS LLC
Office #1: 7 Bryant Park, New York, NY 10018-3706Office #2: 7 Bryant Park, New York, NY 10018-3706BD
CRD#: 24129
New York, NY
Past
December 12, 2016 - July 19, 2022
FUNDS DISTRIBUTOR, LLC
BD
CRD#: 7174
PORTLAND, ME
Past
July 7, 2016 - July 21, 2022
THOMPSON SIEGEL & WALMSLEY LLC
RIA
CRD#: 105726
Decatur, GA
Past
November 7, 2007 - September 30, 2010
HEWITT INVESTMENT GROUP LLC
RIA
CRD#: 110162
ATLANTA, GA
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
Alabama(7/26/2023)
RR
Arkansas(7/26/2023)
RR
California(7/26/2023)
RR
Colorado(7/26/2023)
RR
District of Columbia(7/26/2023)
RR
Florida(7/26/2023)
RR
Georgia(7/26/2023)
RR
Kentucky(7/26/2023)
RR
Louisiana(7/26/2023)
RR
Mississippi(7/26/2023)
RR
New Jersey(7/26/2023)
RR
New York(7/26/2023)
RR
North Carolina(7/26/2023)
RR
Ohio(7/27/2023)
RR
Oklahoma(7/26/2023)
RR
South Carolina(7/26/2023)
RR
Tennessee(7/26/2023)
RR
Texas(7/26/2023)
RR
Virginia(7/26/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SCHRODER FUND ADVISORS LLC
SCHRODER CAPITAL DISTRIBUTORS INC. | SCHRODER FUND ADVISORS LLC | SCHRODER FUND ADVISORS INC.
CRD#: 24129 / SEC#: , 8-40973
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
7 Bryant Park, New York, NY 10018-3706
Mailing Address
7 Bryant Park, New York, NY 10018-3706
Phone number
(212) 641-3889
Established
Delaware since 06/30/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC. | DIRECT OWNER | |
| FORTINO, ROBERT ANTHONY | CHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL | 1905741 |
| LANIER, ANGEL | ASSISTANT SECRETARY | 6772355 |
| LOWE, RICHARD JOHN | BOARD MEMBER | 7060365 |
| MARSHALL, DAVID JAMES | AUTHORIZED SIGNATORY | 3070206 |
| MAZZA, CATHERINE ANDREA | PRESIDENT, CHAIR, BOARD MEMBER | 1444025 |
| MUHLBAUM, CARIN FANNY | SECRETARY | 3198495 |
| PATNAIK, SHANAK | CHIEF COMPLIANCE OFFICER | 6184296 |
| SAUER, WILLIAM PETER | BOARD MEMBER | 1622322 |
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.
