Marcy M. Swank

RMB SECURITIES (USA)

New York, NY 10019

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CRD#: 1805577

Professional summary

Marcy Mills Swank, who also goes by Marcy Mills Swank, is a registered financial professional currently at RMB SECURITIES (USA) INC. located in New York, New York.

Marcy is registered as a RR (Registered Representative) and started their career in finance in 1988. Marcy has worked at 15 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Marcy Mills Swank

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marcy Mills Swank's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 7, 2022 - Present

RMB SECURITIES (USA) INC.

Office #1: 75 Rockefeller Plaza Suite 23a, New York, NY 10019

CRD#: 314958

New York, NY

Past

June 22, 2011 - February 2, 2021

UNICREDIT CAPITAL MARKETS LLC

CRD#: 7789

NEW YORK, NY

Past

August 6, 2009 - June 9, 2011

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

CRD#: 130847

NEW YORK, NY

Past

June 5, 2009 - July 14, 2009

ATLAS ONE FINANCIAL GROUP, LLC

CRD#: 124057

NEW YORK, NY

Past

February 23, 2009 - May 7, 2009

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

GREENWICH, CT

Past

September 5, 2006 - February 24, 2009

ABN AMRO INCORPORATED

CRD#: 15776

GREENWICH, CT

Past

April 21, 2003 - September 11, 2006

ING FINANCIAL MARKETS LLC

CRD#: 28872

NEW YORK, NY

Past

March 13, 2001 - April 8, 2003

SANTANDER INVESTMENT SECURITIES INC.

CRD#: 37216

NEW YORK, NY

Past

August 24, 1998 - September 20, 1999

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

Past

June 29, 1998 - September 15, 1998

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

September 2, 1997 - June 29, 1998

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

Past

January 3, 1995 - September 2, 1997

SBC WARBURG, INC.

CRD#: 23745

NEW YORK, NY

Past

September 26, 1994 - January 3, 1995

SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.

CRD#: 4341

NEW YORK, NY

Past

December 2, 1992 - September 20, 1994

SAMUEL MONTAGU, INC.

CRD#: 13991

NEW YORK, NY

Past

April 10, 1990 - January 25, 1993

ORD MINNETT INC.

CRD#: 10403

NEW YORK, NY

Past

March 22, 1988 - March 8, 1990

DEUTSCHE SECURITIES AUSTRALIA, INC.

CRD#: 15076

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(7/26/2022)

Florida
(10/31/2022)

Massachusetts
(10/17/2022)

Minnesota
(11/14/2022)

New York
(3/7/2022)

Pennsylvania
(7/19/2022)

Exams

State Security Law Exam

Series 63

Date: 10/4/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/30/1990

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/19/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/29/2003

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 6/2/1989

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

RMB SECURITIES (USA) INC.

CRD#: 314958 / SEC#: , 8-70765

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

75 Rockefeller Plaza Suite 23a, New York, NY 10019

Mailing Address

75 Rockefeller Plaza Suite 23a, New York, NY 10019

Phone number

(917) 947-3111

Established

Delaware since 04/26/2021

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (6 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FIRSTRAND SECURITIES LIMITED	OWNER
CHIN, PHYLLIS NYUK FAH	FINOP, PFO, POO	6250921
GREGORY, JAMES ALEXANDER	CHIEF EXECUTIVE OFFICER	7116490
MEMBRENO, OSCAR ARMANDO JR	CHIEF RISK OFFICER / SECRETARY / PRINCIPAL	2261489
TURNER, EDEN KIERNAN	CCO	6348203

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Marcy M. Swank

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marcy Mills Swank's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNICREDIT CAPITAL MARKETS LLC

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

ATLAS ONE FINANCIAL GROUP, LLC

NATWEST MARKETS SECURITIES INC.

ABN AMRO INCORPORATED

ING FINANCIAL MARKETS LLC

SANTANDER INVESTMENT SECURITIES INC.

ABN AMRO INCORPORATED

UBS SECURITIES LLC

SBC WARBURG DILLON READ INC.

SBC WARBURG, INC.

SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.

SAMUEL MONTAGU, INC.

ORD MINNETT INC.

DEUTSCHE SECURITIES AUSTRALIA, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/4/1990

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 5/30/1990

Series 7

Date: 3/19/1988

Series 24

Date: 7/29/2003

Series 27

Date: 6/2/1989

FINRA

Current Firm

RMB SECURITIES (USA) INC.

Contact information

FINRA licenses (6 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

RMB SECURITIES (USA) INC.

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