Matthew Swing
Professional summary
Matthew Swing is a registered financial professional currently at DC ADVISORY located in New York, New York.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 2016. Matthew has worked at 5 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Matthew Swing's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 16, 2024 - Present
DC ADVISORY
Office #1: 605 Third Avenue 11th Floor, New York, NY 10158June 26, 2024 - November 22, 2024
FINALIS SECURITIES LLC
July 6, 2022 - June 1, 2023
B. RILEY SECURITIES, INC.
October 9, 2019 - August 11, 2022
FOCALPOINT SECURITIES, LLC
June 29, 2016 - September 13, 2019
KROLL SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/16/2024)
Exams
FINRA
Current Firm
DC ADVISORY
CRD#: 129919 / SEC#: , 8-66273
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CORPORATE ADVISORY HOLDINGS INC. | SHAREHOLDER | |
| BAYER, JONATHAN LEWIS | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 5050555 |
| DONOHUE, JOSEPH THOMAS | VICE CHAIRMAN | 1630441 |
| EDMONDSON, ERIC WINSTON | VICE CHAIRMAN | 1441360 |
| KOHR, WILLIAM EDWARD | CHIEF EXECUTIVE OFFICER | 1563851 |
| PACITTO, PETER JOSEPH | CHIEF ADMINISTRATIVE OFFICER, CFO, FINOP | 1700696 |
Red Flags
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