Mark Swartz

Current Employers

Employment History

• 09/1999 → 06/2020
  Axa Advisors, Llc
  New York, NY
• 09/1999 → Present
  Equitable Advisors, Llc
  New York, NY

Other Businesses

1)SWARTZ FAMILY LLC, 9833 AVENEL FARM DRIVE POTOMAC MD 20854, MANAGING MEMBER, PERSONAL USE ONLY, NON-INVESTMENT RELATED, START DATE: 2/21/13, 0 HRS PER MO, BANK ACCT SWARTZ FAMILY LLC, SIGNATOR; 2) POTENTIAL PARTICIPATION IN LIFE SETTLEMENTS TRANSACTION THROUGH COMPANY APPROVED SETTLEMENT BROKER, 3141 FAIRVIEW PARK DR STE 250 FALLS CHURCH VA 22042, REFERRING ASSOCIATE AND PROVIDING GUIDANCE ON WHETHER THE TRANSACTIONS ARE APPROPRIATE, START DATE: 6/22/20, 1 HR PER MO; 3) ADMINISTRATOR OR EXECUTOR OF AN ESTATE OR TRUSTEE OF A TRUST FOR A NON-FAMILY OR FAMILY MEMBER (REVISED 10/10/2015), EXECUTOR OF MY DECEASED SISTER'S ESTATE. THIS ACTIVITY WILL END WHEN THE ESTATE IS CLOSED.4) FOUNDER, PRESIDENT & CEO, ASCEND PLANNING & CONSULTING LLC, 3141 FAIRVIEW PARK DRIVE FALLS CHURCH VA 22042, DUITES: ADMINISTRATIVE AND MANAGEMENT RESPONSIBILITY, START DATE: 12/2/16, 30 HOURS PER MO, BANK ACCT ASCEND PLANNING & CONSULTING LLC, SIGNATOR; 5) OUTSIDE INSURANCE BROKERAGE: AMERICAN GENERAL, ASH BROKERAGE, FOSTERTHOMAS, GUARDIAN, STANDARD, UNUM, LINCOLN LIFE, HARTFORD, METLIFE AS WELL AS A FEW CARRIERS WHERE I RECEIVE RENEWAL COMPENSATION, IN ADDITION, I RECEIVE REVENUE FROM A GROUP INSURANCE BROKER RELATIONSHIP THAT HAS EXISTED OVER 20 YEARS; 6) USING MSWARTZ@ASCENDPLANNING.COM and WW.ASCENDPLANNING.COM TO CONDUCT EQUITABLE BUSINESS;

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-04-30
• S63 Uniform Securities Agent State Law Examination
  1983-11-30