Andrew William Swallender

CRD 2067573 · Morgan Stanley · Cincinnati, OH

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63SIESeries 31Series 7
Registered states (24): Arizona · California · Colorado · Connecticut · Delaware · Florida · Georgia · Illinois · Indiana · Kentucky · Louisiana · Massachusetts · Michigan · Minnesota · New Hampshire · New York · North Carolina · Ohio · Pennsylvania · Tennessee · Texas · Utah · Virginia · Washington
Years in the industry (source record): 33
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (12)

From the source registration record · current first

Morgan StanleyCurrent
Cincinnati, OH · IA capacity

Jun 1, 2009 → present
Citigroup Global Markets Inc.
BD capacity

Feb 21, 2006 → Jun 1, 2009
Citigroup Global Markets Inc.
IA capacity

Feb 21, 2006 → Jun 1, 2009
Legg Mason Wood Walker Inc
IA capacity

Jul 7, 2003 → Feb 21, 2006
Legg Mason Wood Walker, Incorporated
BD capacity

Jul 3, 2003 → Feb 21, 2006
Wachovia Securities, LLC
BD capacity

Jul 1, 2003 → Jul 17, 2003
Wachovia Securities, LLC
IA capacity

Jul 1, 2003 → Jul 17, 2003
Prudential Securities Incorporated
IA capacity

Sep 12, 1999 → Jul 1, 2003
Prudential Securities Incorporated
BD capacity

Mar 10, 1998 → Jul 1, 2003
H.J. Meyers & Co., Inc.
BD capacity

Aug 22, 1994 → Apr 3, 1998
Hibbard Brown & Co., Inc.
BD capacity

Aug 2, 1993 → Sep 15, 1994
Westfield Financial Corporation
BD capacity

Aug 8, 1994 → Aug 19, 1994

Source & corrections

Where this page comes from

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