Matthew Joseph Swain
Professional Summary
Matthew Joseph Swain, who also goes by Matthew Swain, is a registered financial advisor currently at HOULIHAN LOKEY CAPITAL, INC. located in West Palm Beach, Florida. Matthew is registered as a RR (Registered Representative) and started their career in finance in 2017. Matthew has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Matthew Swain
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
9 years in the financial services industry
Current & Past Employments
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Current Firm
HLHZ CAPITAL, A CALIFORNIA LIMITED PARTNERSHIP | HOULIHAN, LOKEY, HOWARD & ZUKIN CAPITAL, INC. | HOULIHAN, LOKEY, HOWARD & ZUKIN CAPITAL | HOULIHAN LOKEY HOWARD & ZUKIN CAPITAL, L.P. | HOULIHAN LOKEY HOWARD & ZUKIN CAPITAL, INC. | HOULIHAN LOKEY CAPITAL, INC.
Contact Information
Main Address
10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067Mailing Address
10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067Phone Number
(310) 553-8871Established
California since 01/09/1996Firm Type
CorporationFiscal Year End
MarchFirm Size
LargeFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOULIHAN LOKEY AMERICAS (HOLDINGS) LLC | DIRECT OWNER OF HOULIHAN LOKEY CAPITAL, INC. | — |
| ADELSON, SCOTT JOSEPH | PRESIDENT/CEO AND DIRECTOR (HLI) | 2147111 |
| ALLEY, JAMES LINDSEY | TREASURER/CHIEF FINANCIAL OFFICER (HLI) | 2394515 |
| BEISER, SCOTT LEE | VICE PRESIDENT/CO-CHAIRMAN AND DIRECTOR (HLI) | 2026185 |
| BEN-CANAAN, MARC AVI | CCO/AMLCO | 4885345 |
| CRAIN, CHRISTOPHER MADISON | SECRETARY/GENERAL COUNSEL | 4870370 |
| TANIGUCHI, EDWARD NEAL | CHIEF FINANCIAL OFFICER, FINOP | 4632869 |
| YAMARONE, CHARLES ANTHONY III | SENIOR ADVISOR | 2190400 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(4/30/2026)
(5/20/2024)
(3/23/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2025About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Matthew Joseph Swain's CRS (Customer Relationship Summary).
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