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Carl Swanson

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Jersey City, NJ

New York, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-10-18
NJ RA APPROVED 2017-07-24
  • NY RA
    APPROVED
    Since 2024-10-18
  • NJ RA
    APPROVED
    Since 2017-07-24

Branch Locations

525 Washington Blvd Investment Solutions Group, Jersey City, NJ 07310 • United States

New York, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley & Co., Incorporated New York NY 04/2007 03/2017
Morgan Stanley Smith Barney Purchase NY 06/2009 03/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Jersey City NJ 06/2017 Present
Previous Registrations
  • 2009-06-01 → 2017-03-02
    Morgan Stanley
    Purchase, NY
    Purchase, NY
    New York, NY
    Purchase, NY
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    New York, NY
  • 2005-06-09 → 2007-04-02
    Morgan Stanley Dw Inc.
    Purchase, NY
    Purchase, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-09-23
  • S66 Uniform Combined State Law Examination
    2004-09-23
Other Names
  • Carl M Swanson

View on SEC IAPD

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