David C. Swartz

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CRD#: 1220298

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Carl Swartz, who also goes by David C Swartz, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1984. David had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David C Swartz

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) HARLEY OWNERS GROUP - DECATUR, IL. MEMBERSHIP DIRECTOR. 4 HOURS WEEKLY, 0 DURING TRADING HOURS. STARTED 5/7/2010. NOT INVESTMENT RELATED. 2) SUPPORT COMPANY - DECATUR, IL. MEMBER OF LLC. STARTED 10/11/12 TO PRESENT. 0 HOURS WEEKLY, 0 DURING TRADING HOURS. NOT INVESTMENT RELATED. 3) Signs by Swartz -Address: 790 Stevenes Creek Blvd, Forsyth, IL Nature of the Business: Business Owner -Position/Title: Proprietor/Owner Investment Related:No-Start Date: 11/10/2019 -Hours per month devoted to this business: 20 -Hours per month devoted to this business during trading hours: 0 -Description of duties: Make signs from wood and plastic 4) First Mid Bank & Trust.-Address: Decatur, IL -Nature of the Business: Bank/Credit Union Associate -Position/Title: Advisor -Investment Related: Yes Start Date: 06/21/2021 -Hours per month devoted to this business: 180 Hours per month devoted to this business during trading hours: 130 Description of duties: Advisor/Bank Associate. Name of Business : FIRST MID WEALTH MANAGEMENT -Address: Decatur, IL -Nature of the Business: Support Company/DBA (Non-Owner) -Position/Title: Advisor -Investment Related:No -Start Date: 06/21/2021 Hours per month devoted to this business: 180 -Hours per month devoted to this business during trading hours: 130 -Description of duties: 5QK17

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 18, 2012 - April 6, 2022

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Decatur, IL

Past

January 4, 1999 - April 6, 2022

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Decatur, IL

Past

March 3, 1997 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

October 25, 1994 - March 6, 1997

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 4, 1990 - October 28, 1994

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

January 9, 1984 - September 4, 1990

BLUNT ELLIS & LOEWI INCORPORATED

CRD#: 7580

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".

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/17/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/20/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 11/6/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/3/1998

General Securities Principal Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

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Contact information

Main Address

880 Carillon Parkway, Saint Petersburg, FL 33716

Mailing Address

Phone number

(727) 567-3020

Established

Firm type

Fiscal year end

# of Employees

6,727

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts	1,030,208
AUM (Assets Under Management)	$ 344,868,106,925

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/12/2025	Cover Page	Report
08/21/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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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David C. Swartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

MORGAN STANLEY DW INC.

WELLS FARGO CLEARING SERVICES, LLC

BLUNT ELLIS & LOEWI INCORPORATED

Primary Firm SEC Registration

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/17/2012

Series 63

Date: 12/20/1983

SIE

Date: 10/1/2018

Series 7

Date: 12/17/1983

Series 51

Date: 11/6/2003

Series 24

Date: 3/3/1998

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

TRUST BUT VERIFY

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