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Cynthia Lynn Swiatkowski

MDB CAPITAL
ADDISON, TX
·CRD# 6863355·8 years experience

Professional Summary

Cynthia Lynn Swiatkowski is a registered financial advisor currently at MDB CAPITAL located in Addison, Texas. Cynthia is registered as a RR (Registered Representative) and started their career in finance in 2018. Cynthia has worked at 1 firm and has passed the SIE and Series 99 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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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 are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

8 years in the financial services industry

Current & Past Employments

MDB CAPITAL·CRD# 42677
BD
14135 Midway Road, Suite G-150, Addison, TX 75001
April 6, 2018 - Present

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Current Firm

MC
MDB CAPITAL

MARSHALL MERCHANT GROUP, LLC | PUBLIC VENTURES, LLC | MDB CAPITAL GROUP LLC | MDB CAPITAL

CRD#: 42677 / SEC#: 8-49951
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Contact Information

Main Address

14135 Midway Road, Suite G-150, Addison, TX 75001

Mailing Address

14135 Midway Road, Suite G-150, Addison, TX 75001

Phone Number

(945) 262-9010

Established

California since 12/26/1996

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MDB CAPITAL HOLDINGS, LLCPARENT COMPANY—
MARLETT, CHRISTOPHER ANTHONYPRESIDENT, CEO, GSP1526644
SCHUMAN, GARY ALANCFO, CHIEF COMPLIANCE OFFICER, FINOP2237720
ZAPANTA, ALEX RAY S JR.PRINCIPAL OPERATIONS OFFICER5414779

Disclosures

Regulatory Event

3

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 99 — Operations Professional Examination

Passed Apr 2018About the Series 99 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Cynthia Lynn Swiatkowski's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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