Donald N. Swain

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CRD#: 1400225

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.

Donald Noel Swain, who also goes by Don Swain, was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 1985. Donald had worked at 3 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Don Swain

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.

The advisor shows no other business activity.

Blog Corner

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

April 12, 2011 - March 5, 2019

KEELER THOMAS MANAGEMENT LLC

RIA

CRD#: 109522

OREM, UT

Past

June 8, 1994 - December 31, 1997

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

October 10, 1985 - June 30, 1992

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

KEELER THOMAS MANAGEMENT LLC

KEELER THOMAS INC | KEELER THOMAS MANAGEMENT LLC

CRD#: 109522 / SEC#: 801-100354

RIA

Registered Investment Advisory firm - (6/15/2015 Approved)

California

Registered Investment Advisory firm - (7/22/2015 Terminated)

Texas

Registered Investment Advisory firm - (6/22/2015 Terminated)

Utah

Registered Investment Advisory firm - (6/22/2015 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.

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

Series 63

Date: 10/26/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 10/9/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

KEELER THOMAS MANAGEMENT LLC

KEELER THOMAS INC | KEELER THOMAS MANAGEMENT LLC

CRD#: 109522 / SEC#: 801-100354

RIA

Registered Investment Advisory firm - (6/15/2015 Approved)

California

Registered Investment Advisory firm - (7/22/2015 Terminated)

Texas

Registered Investment Advisory firm - (6/22/2015 Terminated)

Utah

Registered Investment Advisory firm - (6/22/2015 Terminated)

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Contact information

Main Address

1327 South 800 East, Orem, UT 84097

Mailing Address

Phone number

(801) 226-0800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KEELER THOMAS INC ADV BROCHURE (5/28/2025)

Regulatory assets under management

Total Number of Accounts	839
AUM (Assets Under Management)	$ 379,274,089

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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Donald N. Swain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KEELER THOMAS MANAGEMENT LLC

SUNAMERICA SECURITIES, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

KEELER THOMAS MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/26/1994

Series 6

Date: 10/9/1985

Current Firm

KEELER THOMAS MANAGEMENT LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KEELER THOMAS MANAGEMENT LLC

TRUST BUT VERIFY

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