TrueAdvisor
TrueAdvisor
JT
JT

Jeffrey David Thomas

Swan Global Investments, LLC
23 Years of Experience
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Swan Global Investments, LLC
Compensation
Fee-Only (AUM)
Firm Size
19 advisors
Number of Clients
1,969 clients
Average Client Portfolio
$1.2M average
Assets Under Management
$2.4B

Fee Structure

Minimum Investment:$250K
Financial Planning:Investment management only

Location

Milton, MA

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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 Activities

Jeffrey owns a rental property since 2012, spending minimal time facilitating repairs, service, and collecting rental income. This activity is not investment-related.

Employment History
Current Registrations
Northern Lights Distributors, LLC
March 2021 - Present · 4 yrs 11 mos
Northern Lights Distributors, LLCBroker
March 2021 - Present · 4 yrs 11 mos
Swan Global Investments, LLC
February 2021 - Present · 5 yrs
Previous Registrations
Sammons Financial Network, LLCBroker
May 2019 - January 2021 · 1 yr 8 mos
Northern Lights Distributors, LLCBroker
October 2017 - April 2019 · 1 yr 6 mos
Swan Global Investments, LLC
October 2017 - April 2019 · 1 yr 6 mos
Foreside Fund Services, LLCBroker
January 2017 - August 2017 · 7 mos
Wbi Investments, INC.
November 2012 - August 2017 · 4 yrs 9 mos
Quasar Distributors, LLCBroker
September 2012 - December 2016 · 4 yrs 3 mos
Guardian Investor Services LLCBroker
March 2011 - August 2012 · 1 yr 5 mos
Transamerica Capital, INC.Broker
March 2008 - June 2009 · 1 yr 3 mos
Afba Five Star Securities CompanyBroker
August 2006 - March 2008 · 1 yr 7 mos
Evergreen Investment Services, INC.Broker
March 2003 - July 2006 · 3 yrs 4 mos
Cdc Ixis Asset Management Distributors, L.P.Broker
November 2000 - February 2003 · 2 yrs 3 mos
Metlife Securities INC.Broker
February 2000 - November 2000 · 9 mos
Metropolitan Life Insurance CompanyBroker
February 2000 - November 2000 · 9 mos
State Registrations3 states
COMANE
AdvisorBrokerBoth
Exams
No exam information available for this advisor.