John E. Swegles

NFSG

GROSSE POINTE PARK, MI

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CRD#: 1034058

Professional summary

John E Swegles III, who also goes by John Earl Swegles III, John Earl III Swegles, is a registered financial advisor currently at NFSG CORPORATION located in Grosse Pointe Park, Michigan and NEWBRIDGE SECURITIES CORPORATION located in Boca Raton, Florida.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. John has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 22, Series 6, Series 10, Series 9, Series 8 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Earl Swegles Iii | John Earl Iii Swegles

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) JOHN SWEGLES INSURANCE - 01/1982 - MICHAGAN - ONGOING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John E Swegles III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 15, 2024 - Present

NFSG CORPORATION

RIA

CRD#: 130814

GROSSE POINTE PARK, MI

Current

May 13, 2024 - Present

NEWBRIDGE SECURITIES CORPORATION

Office #1: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432

CRD#: 104065

Boca Raton, FL

Past

March 1, 2016 - December 13, 2023

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

GROSSE POINTE WOODS, MI

Past

February 26, 2016 - December 13, 2023

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

GROSSE POINTE WOODS, MI

Past

June 1, 2009 - March 11, 2016

MORGAN STANLEY

RIA

CRD#: 149777

GROSSE POINTE FARMS, MI

Past

June 1, 2009 - March 11, 2016

MORGAN STANLEY

CRD#: 149777

GROSSE POINTE FARMS, MI

Past

March 5, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

GROSSE POINTE FARMS, MI

Past

February 22, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

GROSSE POINTE FARMS, MI

Past

August 10, 2001 - March 3, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

GROSSE POINTE FARMS, MI

Past

June 17, 1998 - September 6, 2001

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

May 11, 1998 - September 25, 1999

RONEY & CO.

CRD#: 45091

DETROIT, MI

Past

May 26, 1987 - May 11, 1998

RONEY & CO. L.L.C.

CRD#: 900

DETROIT, MI

Past

July 19, 1984 - May 21, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

August 16, 1983 - July 19, 1984

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

March 16, 1982 - August 12, 1983

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

March 16, 1982 - August 12, 1983

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

March 16, 1982 - August 12, 1983

IDS LIFE INSURANCE COMPANY

CRD#: 6321

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NFSG CORPORATION

NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.

CRD#: 130814 / SEC#: 801-68448

RIA

Registered Investment Advisory firm - (11/6/2007 Approved)

Arizona

Registered Investment Advisory firm - (11/8/2007 Terminated)

California

Registered Investment Advisory firm - (11/8/2007 Terminated)

Connecticut

Registered Investment Advisory firm - (11/8/2007 Terminated)

Florida

Registered Investment Advisory firm - (12/12/2007 Terminated)

Illinois

Registered Investment Advisory firm - (11/6/2007 Terminated)

Indiana

Registered Investment Advisory firm - (11/8/2007 Terminated)

Nevada

Registered Investment Advisory firm - (12/17/2007 Terminated)

New Jersey

Registered Investment Advisory firm - (11/14/2007 Terminated)

North Carolina

Registered Investment Advisory firm - (11/8/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/13/2007 Terminated)

Tennessee

Registered Investment Advisory firm - (12/8/2007 Terminated)

Texas

Registered Investment Advisory firm - (11/8/2007 Terminated)

Virginia

Registered Investment Advisory firm - (11/8/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Idaho
(6/24/2024)

Michigan
(5/15/2024)

IAR

Michigan
(5/15/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/30/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/15/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/12/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/17/1983

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 3/17/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 3/10/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 7/25/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 24

Date: 4/5/1994

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

NFSG CORPORATION

NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.

CRD#: 130814 / SEC#: 801-68448

RIA

Registered Investment Advisory firm - (11/6/2007 Approved)

Arizona

Registered Investment Advisory firm - (11/8/2007 Terminated)

California

Registered Investment Advisory firm - (11/8/2007 Terminated)

Connecticut

Registered Investment Advisory firm - (11/8/2007 Terminated)

Florida

Registered Investment Advisory firm - (12/12/2007 Terminated)

Illinois

Registered Investment Advisory firm - (11/6/2007 Terminated)

Indiana

Registered Investment Advisory firm - (11/8/2007 Terminated)

Nevada

Registered Investment Advisory firm - (12/17/2007 Terminated)

New Jersey

Registered Investment Advisory firm - (11/14/2007 Terminated)

North Carolina

Registered Investment Advisory firm - (11/8/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/13/2007 Terminated)

Tennessee

Registered Investment Advisory firm - (12/8/2007 Terminated)

Texas

Registered Investment Advisory firm - (11/8/2007 Terminated)

Virginia

Registered Investment Advisory firm - (11/8/2007 Terminated)

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Contact information

Main Address

1200 North Federal Highway Suite 400, Boca Raton, FL 33432

Mailing Address

Phone number

(954) 334-3450

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (4/30/2025)

NFSG WRAP FEE PROGRAM BROCHURE (4/30/2025)

Regulatory assets under management

Total Number of Accounts	3,587
AUM (Assets Under Management)	$ 813,494,847

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

John E. Swegles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John E Swegles III's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEWBRIDGE SECURITIES CORPORATION

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

UBS FINANCIAL SERVICES INC.

RAYMOND JAMES & ASSOCIATES, INC.

RONEY & CO.

RONEY & CO. L.L.C.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

E. F. HUTTON & COMPANY INC

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

Primary Firm SEC Registration

NFSG CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 7/30/1993

Series 63

Date: 3/15/1982

SIE

Date: 10/1/2018

Series 31

Date: 6/12/2009

Series 7

Date: 9/17/1983

Series 22

Date: 3/17/1983

Series 6

Date: 3/10/1982

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 8

Date: 7/25/1994

Series 24

Date: 4/5/1994

FINRA

Nasdaq Stock Market

Current Firm

NFSG CORPORATION

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NFSG CORPORATION

TRUST BUT VERIFY

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