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Michael C Swezey

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Albany, 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 2021-04-19
TX RA APPROVED_RES 2005-08-05
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2005-08-05

Branch Locations

69 State St, Albany, NY 12207 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Albany NY 09/1993 Present
Bank Of America, N.A. Albany NY 07/2011 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-12-04
S65 Uniform Investment Adviser Law Examination 1993-12-04
  • S63 Uniform Securities Agent State Law Examination
    1993-12-04
  • S65 Uniform Investment Adviser Law Examination
    1993-12-04
Other Names
  • Michael C Swezey
  • Mike Swezey
  • Michael Charles Swezey

View on SEC IAPD

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CITIZENS SECURITIES, INC. · ALBANY, NY
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