Charles Trimble Swindell

Lutherville, MD

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Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-04-08
MD	RA	APPROVED	2009-06-01

TX RA
APPROVED_RES

Since 2020-04-08
MD RA
APPROVED

Since 2009-06-01

Branch Locations

2330 West Joppa Road Suite 255, Lutherville, MD 21093 • 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

Organization	City	State	From	To
Citigroup Global Markets Inc.	Baltimore	MD	02/2006	Present
Morgan Stanley Smith Barney	Lutherville	MD	06/2009	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	Present

02/2006 → Present

Citigroup Global Markets Inc.

Baltimore, MD
06/2009 → Present

Morgan Stanley Smith Barney

Lutherville, MD
01/2015 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

2006-02-21 → 2009-06-01

Citigroup Global Markets Inc.

Lutherville, MD

Baltimore, MD

New York, NY

Baltimore, MD
1997-06-24 → 2006-02-21

Legg Mason Wood Walker, Incorporated

Baltimore, MD

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-03-14
S63	Uniform Securities Agent State Law Examination	1994-03-07

S65 Uniform Investment Adviser Law Examination

1994-03-14
S63 Uniform Securities Agent State Law Examination

1994-03-07

View on SEC IAPD

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HARBOR INVESTMENT ADVISORY, LLC · LUTHERVILLE, MD

BLACK DIAMOND FINANCIAL, LLC · LUTHERVILLE, MD

CORBYN INVESTMENT MANAGEMENT INC · LUTHERVILLE, MD

SUMMIT FINANCIAL, LLC · LUTHERVILLE, MD

KESTRA ADVISORY SERVICES, LLC · Lutherville, MD

KESTRA ADVISORY SERVICES, LLC · LUTHERVILLE, MD

CORBYN INVESTMENT MANAGEMENT INC · LUTHERVILLE, MD

JANNEY MONTGOMERY SCOTT LLC · Lutherville (Greenspring), MD

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