SWS CAPITAL MANAGEMENT Trademark
Trademark Overview
On Thursday, June 12, 2025, a trademark application was filed for SWS CAPITAL MANAGEMENT with the United States Patent and Trademark Office. The USPTO has given the SWS CAPITAL MANAGEMENT trademark a serial number of 99231845. The federal status of this trademark filing is NON-FINAL ACTION - MAILED as of Wednesday, November 12, 2025. This trademark is owned by SWS Capital Management, LLC. The SWS CAPITAL MANAGEMENT trademark is filed in the Insurance & Financial Services category with the following description:
Financial services, namely, investment management services, investment advisory services and financial asset management services; Fiduciary management services; Investment consultation and investment of funds for others, including private and public equity and debt investment services; Financial asset management; Financial risk management; Financial risk management consultation; Financial portfolio management; Management of securities portfolios and separately managed accounts
General Information
| Serial Number | 99231845 |
| Word Mark | SWS CAPITAL MANAGEMENT |
| Filing Date | Thursday, June 12, 2025 |
| Status | 641 - NON-FINAL ACTION - MAILED |
| Status Date | Wednesday, November 12, 2025 |
| Registration Number | 0000000 |
| Registration Date | NOT AVAILABLE |
| Mark Drawing | 4 - Illustration: Drawing with word(s) / letter(s) / number(s) in Block form |
| Published for Opposition Date | NOT AVAILABLE |
Trademark Statements
| Goods and Services | Financial services, namely, investment management services, investment advisory services and financial asset management services; Fiduciary management services; Investment consultation and investment of funds for others, including private and public equity and debt investment services; Financial asset management; Financial risk management; Financial risk management consultation; Financial portfolio management; Management of securities portfolios and separately managed accounts |
| Pseudo Mark | SIEBERT WILLIAMS SHANK CAPITAL MANAGEMENT |
| NOT AVAILABLE | "CAPITAL MANAGEMENT" |
Classification Information
| International Class | 036 - Insurance; financial affairs; monetary affairs; real estate affairs. |
| US Class Codes | 100, 101, 102 |
| Class Status Code | 6 - Active |
| Class Status Date | Thursday, June 12, 2025 |
| Primary Code | 036 |
| First Use Anywhere Date | Thursday, October 1, 2020 |
| First Use In Commerce Date | Thursday, October 1, 2020 |
Trademark Owner History
| Party Name | SWS Capital Management, LLC |
| Party Type | 10 - Original Applicant |
| Legal Entity Type | 16 - Limited Liability Company |
| Address | New York, NY 10005 |
Trademark Events
| Event Date | Event Description |
| Thursday, June 12, 2025 | NEW APPLICATION ENTERED |
| Thursday, June 12, 2025 | APPLICATION FILING RECEIPT MAILED |
| Monday, October 20, 2025 | NEW APPLICATION OFFICE SUPPLIED DATA ENTERED |
| Saturday, November 1, 2025 | ASSIGNED TO EXAMINER |
| Wednesday, November 12, 2025 | NON-FINAL ACTION WRITTEN |
| Wednesday, November 12, 2025 | NON-FINAL ACTION E-MAILED |
| Wednesday, November 12, 2025 | NOTIFICATION OF NON-FINAL ACTION E-MAILED |
