Abigale H. Swiatkowski

CAPITOLIS GLOBAL BROKER DEALER LLC

NEW YORK, NY 10036

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CRD#: 7144260

Professional summary

Abigale H. Swiatkowski, who also goes by Abigale Swiatkowski, Abby Swiatkowski, Abigale Hope Swiatkowski, is a registered financial professional currently at CAPITOLIS GLOBAL BROKER DEALER LLC located in New York, New York.

Abigale is registered as a RR (Registered Representative) and started their career in finance in 2019. Abigale has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Abigale Swiatkowski | Abby Swiatkowski | Abigale Hope Swiatkowski

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.

Effective 6/7/2021 I will be an employee of both JPMorgan Securities and JPMorgan Bank. JPMorgan Bank offers a broad range of products and services nationwide. As an employee of JPMorgan Bank I will be able to offer certain bank products and services, including deposit and credit products.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Abigale H. Swiatkowski'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®

None

Experience

Current

March 10, 2025 - Present

CAPITOLIS GLOBAL BROKER DEALER LLC

Office #1: 11 W. 42nd Street 15th Floor, New York, NY, 10036

CRD#: 325346

NEW YORK, NY

Past

June 30, 2021 - January 17, 2024

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

NEW YORK, NY

Past

June 30, 2021 - January 17, 2024

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

June 8, 2020 - June 10, 2021

MORGAN STANLEY

RIA

CRD#: 149777

WEST CONSHOHOCKEN, PA

Past

April 27, 2020 - June 10, 2021

MORGAN STANLEY

CRD#: 149777

WEST CONSHOHOCKEN, PA

Past

September 26, 2019 - March 31, 2020

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(3/11/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 6/8/2020

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/30/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/26/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/25/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

CAPITOLIS GLOBAL BROKER DEALER LLC

CRD#: 325346 / SEC#: , 8-71056

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

11 W. 42nd Street 15th Floor, New York, NY, 10036

Mailing Address

11 W. 42nd Street 15th Floor, New York, NY, 10036

Phone number

(212) 388-5201

Established

Delaware since 02/01/2023

Firm type

Limited Liability Company

Fiscal year end

January

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ESL FUNDING LLC	GENERAL MEMBER
BAPTISTE, LINDSEY KATHLEEN	CHIEF FINANCIAL OFFICER, FINOP AND MANAGER	5714590
BORER, JON A	CHIEF COMPLIANCE OFFICER	6374938
DROUMENQ, THOMAS	CHIEF EXECUTIVE OFFICER	4871722
WEXLER, STUART JOEL	GENERAL COUNSEL
WILSON, CHARLENE FAITH	FINOP	1935747

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.

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Advisor Monitoring

Firm Stability Insights

Abigale H. Swiatkowski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Abigale H. Swiatkowski's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MORGAN STANLEY

MORGAN STANLEY

VANGUARD MARKETING CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 6/8/2020

Series 63

Date: 8/30/2019

Series 7TO

Date: 9/26/2019

SIE

Date: 7/25/2019

FINRA

Current Firm

CAPITOLIS GLOBAL BROKER DEALER LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CAPITOLIS GLOBAL BROKER DEALER LLC

TRUST BUT VERIFY

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