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Domingo Ramos

Swapnick, LLC

Harrison, NJ

CRD 6386476

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Employer firm

Swapnick, LLC CRD 316239

$767.8K regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers
Swapnick, Llc

Harrison, NJ • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-01-20
NJ RA APPROVED 2021-11-10
  • NY RA
    APPROVED
    Since 2022-01-20
  • NJ RA
    APPROVED
    Since 2021-11-10

Branch Locations

Harrison, NJ • 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
Policygenius New York NY 11/2017 09/2018
Havas New York NY 09/2015 11/2017
Prudential Newark NJ 11/2017 Present
Swapnick, Llc Harrison NJ 10/2021 Present
  • 11/2017 → 09/2018
    Policygenius
    New York, NY
  • 09/2015 → 11/2017
    Havas
    New York, NY
  • 11/2017 → Present
    Prudential
    Newark, NJ
  • 10/2021 → Present
    Swapnick, Llc
    Harrison, NJ
Previous Registrations
  • 2018-11-30 → 2019-12-31
    Swapnick, Llc
    Harrison, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-09-04
  • S65 Uniform Investment Adviser Law Examination
    2018-09-04
Other Names
  • Domingo Dejesus Ramos
  • Domingo Ramos
  • Domingo De Jesus Ramos

View on SEC IAPD

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