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  5. SWIG EQUITIES, LLC

SWIG EQUITIES, LLC

Company Details

Name: SWIG EQUITIES, LLC
Jurisdiction: New York
Legal type: DOMESTIC LIMITED LIABILITY COMPANY
Status: Active
Date of registration: 22 Apr 2005 (20 years ago)
Entity Number: 3194818
ZIP code: 10022
County: New York
Place of Formation: New York
Address: 444 MADISON AVENUE SUITE 300, 44TH FL, NEW YORK, NY, United States, 10022

form 5500

Plan Name Plan Year EIN/PN Received Sponsor Total number of participants
SE 401(K) PLAN 2016 202734326 2017-05-22 SWIG EQUITIES, LLC 17
File View Page
Three-digit plan number (PN) 001
Effective date of plan 1999-01-01
Business code 531310
Sponsor’s telephone number 2125087266
Plan sponsor’s address 90 PARK AVENUE 24TH FLOOR, NEW YORK, NY, 10016

Signature of
Role Plan administrator
Date 2017-05-22
Name of individual signing PLAN SPONSOR
SE 401(K) PLAN 2015 202734326 2016-07-19 SWIG EQUITIES, LLC 23
File View Page
Three-digit plan number (PN) 001
Effective date of plan 1999-01-01
Business code 531310
Sponsor’s telephone number 2125087266
Plan sponsor’s address 90 PARK AVENUE 24TH FLOOR, NEW YORK, NY, 10016

Signature of
Role Plan administrator
Date 2016-07-19
Name of individual signing PLAN SPONSOR
SE 401(K) PLAN 2014 202734326 2015-06-25 SWIG EQUITIES, LLC 20
File View Page
Three-digit plan number (PN) 001
Effective date of plan 1999-01-01
Business code 531310
Sponsor’s telephone number 2125087266
Plan sponsor’s address 110 WILLIAM STREET 11TH FLOOR, NEW YORK, NY, 10038

Signature of
Role Plan administrator
Date 2015-06-25
Name of individual signing PLAN SPONSOR
SE 401K PLAN 2013 202734326 2014-07-01 SWIG EQUITIES, LLC 19
File View Page
Three-digit plan number (PN) 001
Effective date of plan 1999-01-01
Business code 531310
Sponsor’s telephone number 2125087266
Plan sponsor’s address 110 WILLIAM STREET 11TH FLOOR, NEW YORK, NY, 10038

Signature of
Role Plan administrator
Date 2014-07-01
Name of individual signing RONALD SHAVER
SE 401(K) PLAN 2012 202734326 2013-04-22 SWIG EQUITIES, LLC 20
File View Page
Three-digit plan number (PN) 001
Effective date of plan 1999-01-01
Business code 531390
Sponsor’s telephone number 2125087477
Plan sponsor’s address 110 WILLIAM STREET -LOBBY, NEW YORK, NY, 10038

Signature of
Role Plan administrator
Date 2013-04-22
Name of individual signing RONALD SHAVER
Role Employer/plan sponsor
Date 2013-04-22
Name of individual signing RONALD SHAVER
SE 401(K) PLAN 2011 202734326 2012-04-09 SWIG EQUITIES, LLC 23
File View Page
Three-digit plan number (PN) 001
Effective date of plan 1999-01-01
Business code 531390
Sponsor’s telephone number 2125087477
Plan sponsor’s address 110 WILLIAM STREET -LOBBY, NEW YORK, NY, 10038

Plan administrator’s name and address
Administrator’s EIN 202734326
Plan administrator’s name SWIG EQUITIES, LLC
Plan administrator’s address 110 WILLIAM STREET -LOBBY, NEW YORK, NY, 10038
Administrator’s telephone number 2125087477

Signature of
Role Plan administrator
Date 2012-04-09
Name of individual signing RONALD SHAVER
Role Employer/plan sponsor
Date 2012-04-09
Name of individual signing RONALD SHAVER
SE 401(K) PLAN 2010 202734326 2011-04-28 SWIG EQUITIES, LLC 93
File View Page
Three-digit plan number (PN) 001
Effective date of plan 1999-01-01
Business code 531390
Sponsor’s telephone number 2125087477
Plan sponsor’s address 110 WILLIAM STREET 30TH FL, NEW YORK, NY, 10038

Plan administrator’s name and address
Administrator’s EIN 202734326
Plan administrator’s name SWIG EQUITIES, LLC
Plan administrator’s address 110 WILLIAM STREET 30TH FL, NEW YORK, NY, 10038
Administrator’s telephone number 2125087477

Signature of
Role Plan administrator
Date 2011-04-28
Name of individual signing RONALD SHAVER
Role Employer/plan sponsor
Date 2011-04-28
Name of individual signing RONALD SHAVER
SE 401(K) PLAN 2009 202734326 2010-07-09 SWIG EQUITIES, LLC 111
File View Page
Three-digit plan number (PN) 001
Effective date of plan 1999-01-01
Business code 531390
Sponsor’s telephone number 2125087477
Plan sponsor’s address 110 WILLIAM STREET 30TH FL, NEW YORK, NY, 10038

Plan administrator’s name and address
Administrator’s EIN 202734326
Plan administrator’s name SWIG EQUITIES, LLC
Plan administrator’s address 110 WILLIAM STREET 30TH FL, NEW YORK, NY, 10038
Administrator’s telephone number 2125087477

Signature of
Role Plan administrator
Date 2010-07-09
Name of individual signing RONALD SHAVER
Role Employer/plan sponsor
Date 2010-07-09
Name of individual signing RONALD SHAVER

DOS Process Agent

Name Role Address
SWIG EQUITIES, LLC DOS Process Agent 444 MADISON AVENUE SUITE 300, 44TH FL, NEW YORK, NY, United States, 10022

Licenses

Number Type End date
31SW1083685 CORPORATE BROKER 2025-11-17
10991200845 REAL ESTATE PRINCIPAL OFFICE No data

History

Start date End date Type Value
2021-04-05 2023-04-17 Address 444 MADISON AVENUE SUITE 300, 44TH FL, NEW YORK, NY, 10022, USA (Type of address: Service of Process)
2019-04-02 2021-04-05 Address 599 LEXINGTON AVENUE, 44TH FL, NEW YORK, NY, 10022, USA (Type of address: Service of Process)
2016-02-11 2019-04-02 Address 90 PARK AVENUE, 24TH FLOOR, NEW YORK, NY, 10016, USA (Type of address: Service of Process)
2013-05-23 2016-02-11 Address 110 WILLIAM STREET, LOBBY, NEW YORK, NY, 10038, USA (Type of address: Service of Process)
2011-05-23 2013-05-23 Address 110 WILLIAM STREET, 30TH FLOOR, NEW YORK, NY, 10038, USA (Type of address: Service of Process)
2005-04-22 2011-05-23 Address C/O KENT M SWIG, 770 LEXINGTON AVENUE, NEW YORK, NY, 10021, USA (Type of address: Service of Process)

Filings

Filing Number Date Filed Type Effective Date
230417010767 2023-04-17 BIENNIAL STATEMENT 2023-04-01
210405062207 2021-04-05 BIENNIAL STATEMENT 2021-04-01
190402060521 2019-04-02 BIENNIAL STATEMENT 2019-04-01
170405006624 2017-04-05 BIENNIAL STATEMENT 2017-04-01
160211006145 2016-02-11 BIENNIAL STATEMENT 2015-04-01
130523002089 2013-05-23 BIENNIAL STATEMENT 2013-04-01
110523002204 2011-05-23 BIENNIAL STATEMENT 2011-04-01
090924002516 2009-09-24 BIENNIAL STATEMENT 2009-04-01
070411002157 2007-04-11 BIENNIAL STATEMENT 2007-04-01
050721000028 2005-07-21 AFFIDAVIT OF PUBLICATION 2005-07-21

Related by officers

SWIG EQUITIES, LLC

SBE 80 BROAD OWNERSHIP, LLC SE 80 BROAD, LLC SE 80 BROAD MANAGEMENT, LLC

Related by address

No related companies by address

Date of last update: 18 Jan 2025

Sources: New York Secretary of State

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