WS
CFP
WS
CFP

William Robert Swartz

30 Years of Experience
BrokerSells Insurance
Areas of Practice
Investment ManagementRetirement PlanningEducation PlanningEstate PlanningFinancial Planning & CoachingTax Planning
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Firm Size
26657 advisors
Number of Clients
1,676,192 clients
Average Client Portfolio
$369K average
Assets Under Management
$618.9B

Fee Structure

Minimum Investment:$1K
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Location

1104 Kenilworth Drive, Suite 500, Towson, MD, 21204

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

William teaches Dave Ramsey courses, is an agent for non-variable insurance (life, health, disability, long-term care, fixed annuities), and a 50/50 partner in a real estate rental business. He also works full-time as an IAR for SFG Wealth Management LLC.

Employment History
Current Registrations
Sfg Wealth Management
November 2017 - Present · 8 yrs 3 mos
LPL Financial LLCBroker
November 2017 - Present · 8 yrs 3 mos
Previous Registrations
LPL Financial LLC
September 2018 - January 2021 · 2 yrs 4 mos
Transamerica Capital, INC.Broker
February 2010 - September 2017 · 7 yrs 7 mos
John Hancock Advisers, LLC
December 2008 - December 2009 · 1 yr
John Hancock Distributors LLCBroker
May 2005 - December 2009 · 4 yrs 7 mos
John Hancock Distributors LLC
April 2005 - December 2006 · 1 yr 8 mos
Essex National Securities, INC.
November 2003 - March 2006 · 2 yrs 4 mos
Essex National Securities, INC.Broker
June 1996 - March 2006 · 9 yrs 9 mos
First Union Brokerage Services, INC.Broker
November 1995 - May 1996 · 6 mos
First Fidelity Brokers, INC.Broker
July 1995 - November 1995 · 4 mos
F.N. Wolf & CO., INC.Broker
July 1993 - August 1993 · 1 mo
State Registrations17 states
ARAZCACOCTDEFLGAINMDNCNJPARITXVAWI
AdvisorBrokerBoth
Exams
No exam information available for this advisor.