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Tyler Glen Swartz

Morgan Stanley

Utica, NY

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-07-26
NY RA APPROVED 2024-07-22
  • TX RA
    APPROVED
    Since 2024-07-26
  • NY RA
    APPROVED
    Since 2024-07-22

Branch Locations

106 Business Park Drive, Utica, NY 13502 • 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
Cadaret, Grant & Co., Inc. Little Falls NY 01/2023 06/2024
Vanmeter & Vanmeter Little Falls NY 06/2022 06/2024
Roy Rodgers Little Falls NY 06/2016 12/2018
Herkimer Country Community College Herkimer NY 09/2018 05/2020
Gpo Federal Credit Union Ilion NY 06/2019 06/2022
Suny Polytechnic Institute Utica NY 09/2020 05/2022
Morgan Stanley Utica NY 06/2024 Present
  • 01/2023 → 06/2024
    Cadaret, Grant & Co., Inc.
    Little Falls, NY
  • 06/2022 → 06/2024
    Vanmeter & Vanmeter
    Little Falls, NY
  • 06/2016 → 12/2018
    Roy Rodgers
    Little Falls, NY
  • 09/2018 → 05/2020
    Herkimer Country Community College
    Herkimer, NY
  • 06/2019 → 06/2022
    Gpo Federal Credit Union
    Ilion, NY
  • 09/2020 → 05/2022
    Suny Polytechnic Institute
    Utica, NY
  • 06/2024 → Present
    Morgan Stanley
    Utica, NY
Previous Registrations
  • 2023-01-24 → 2024-06-12
    Cadaret, Grant & Co., Inc.
    Schuyler, NY
    Little Falls, NY
    Palatine Bridge, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-01-23
  • S66 Uniform Combined State Law Examination
    2023-01-23
Other Names
  • Tyler Glen Swartz
  • Tyler Swartz

View on SEC IAPD

Other Firms

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PARADIGM CONSULTING, INC.
OSAIC WEALTH, INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
ROBERT W. BAIRD & CO. INCORPORATED
COMMONWEALTH FINANCIAL NETWORK
MML INVESTORS SERVICES, LLC

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DOUGLAS SCOTT WALTERS
Francesca Mae Asher
Kyle J Dempster
Nicholas A Accordino
Emma Uvanni
Shannon M Cool
JUDITH VICKS-SWEET

Other Offices

STRATEGIC FINANCIAL SERVICES · UTICA, NY
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · UTICA, NY
PARADIGM CONSULTING, INC. · UTICA, NY
OSAIC WEALTH, INC. · UTICA, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · UTICA, NY
ROBERT W. BAIRD & CO. INCORPORATED · New Hartford, NY
COMMONWEALTH FINANCIAL NETWORK · New Hartford, NY
MML INVESTORS SERVICES, LLC · New Hartford, NY

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