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 ABANDONED - FAILURE TO RESPOND OR LATE RESPONSE as of Friday, May 29, 2026. 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 | 602 - ABANDONED - FAILURE TO RESPOND OR LATE RESPONSE |
| Status Date | Friday, May 29, 2026 |
| 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
US |
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 |
| Monday, February 9, 2026 | TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED |
| Monday, February 9, 2026 | ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED |
| Monday, February 9, 2026 | TEAS CHANGE OF CORRESPONDENCE RECEIVED |
| Wednesday, February 11, 2026 | APPLICATION EXTENSION TO RESPONSE PERIOD - RECEIVED |
| Wednesday, February 11, 2026 | APPLICATION EXTENSION GRANTED/RECEIPT PROVIDED |
| Friday, May 29, 2026 | ABANDONMENT - FAILURE TO RESPOND OR LATE RESPONSE |
| Friday, May 29, 2026 | ABANDONMENT NOTICE E-MAILED - FAILURE TO RESPOND |
