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Andrew William Swallender

Morgan Stanley

Cincinnati, OH

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-07-22
OH RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2016-07-22
  • OH RA
    APPROVED
    Since 2009-06-01

Branch Locations

7755 Montgomery Road 2Nd Floor, Cincinnati, OH 45236 • 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
Citigroup Global Markets Inc. Cincinnati OH 02/2006 Present
Morgan Stanley Smith Barney Cincinnati OH 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 02/2006 → Present
    Citigroup Global Markets Inc.
    Cincinnati, OH
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Cincinnati, OH
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2006-02-21 → 2009-06-01
    Citigroup Global Markets Inc.
    Cincinnati, OH
    Cincinnati, OH
    New York, NY
    Cincinnati, OH
  • 2003-07-07 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Kenwood, OH
  • 2003-07-01 → 2003-07-17
    Wells Fargo Clearing Services, Llc
    Cincinnati, OH
  • 1999-09-12 → 2003-07-01
    Prudential Equity Group, Llc
    Cincinnati, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-02-28
S63 Uniform Securities Agent State Law Examination 1993-08-16
  • S65 Uniform Investment Adviser Law Examination
    2000-02-28
  • S63 Uniform Securities Agent State Law Examination
    1993-08-16

View on SEC IAPD

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Other Offices

QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

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