Henry A. Swieca
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.
Henry Alexander Swieca, who also goes by Henry A Swieca, Henry Swieca, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1980. Henry had worked at 7 firms and has passed the Series 63, Series 55, Series 3, Series 7, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 1992 - April 29, 2005
HIGHBRIDGE CAPITAL CORPORATION
July 16, 1990 - August 9, 2007
AUDOBON SECURITIES, INC.
May 14, 1988 - August 16, 1990
LEHMAN BROTHERS INC.
June 4, 1984 - May 14, 1988
E. F. HUTTON & COMPANY INC
July 7, 1983 - April 27, 1984
DILLON, READ SECURITIES INC.
July 5, 1983 - April 13, 1984
SBC WARBURG DILLON READ INC.
July 22, 1980 - July 22, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 55
Date: 4/11/2000
Limited Representative-Equity Trader ExamCurrent Firm
HIGHBRIDGE CAPITAL CORPORATION
CRD#: 30208 / SEC#: , 8-44792
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUSTIN, MICHAEL | DIRECTOR | 4889838 |
| BENBASSAT, MARIO | DIRECTOR | 4148724 |
| DUBIN, GLENN RUSSEL | DIRECTOR/CO-CHAIRMAN | 864420 |
| FEITELBERG, HOWARD | CONTROLLER | 2257141 |
| HARRIS, CLIVE | DIRECTOR | 4889840 |
| LOZE, BERNARD ANNE | DIRECTOR | 1540936 |
| RUBIN, CAROLYN JUDITH | CHIEF COMPLIANCE OFFICER | |
| SANTODOMINGO, JULIO MARIO JR | DIRECTOR | 2625558 |
| SWIECA, HENRY ALEXANDER | DIRECTOR/CO-CHAIRMAN | 711959 |
Disclosures
| Regulatory Event | 2 |
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.
