GS
Gerard E. Swienton
INVESTMENT LEADERSHIP
Forest, VA 24551
Some features on this profile are disabled
CRD#: 1424932
GS
Professional summary
Gerard Edwin Swienton, CFP®, who also goes by Gerry E Swienton, is a registered financial advisor currently at INVESTMENT LEADERSHIP, LLC located in Forest, Virginia and PURSHE KAPLAN STERLING INVESTMENTS located in Forest, Virginia.
Gerard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Gerard has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Investment Planning
Education Planning
Retirement Planning
Retirement Income Management
Estate Planning
Elder Care
Comprehensive Financial Planni...
Are you a "fiduciary"?
Yes
Aliases
Gerry E Swienton
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)INVESTMENT LEADERSHIP, LLC. INVESTMENT RELATED. 14805 Forest Road Suite 226 Forest, VA 24551; RIA dual registered hybrid model; Managing Partner/Chief Compliance Officer; Start May 2013; 170 Hours/month; 150 hours during trading hours; Owner and day-to-day operations of the RIA. 2) PURSHE KAPLAN STERLING INVESTMENTS; INVESTMENT RELATED; 14805 Forest Road Suite 226 Forest, VA 24551; broker-dealer; Registered Representative; Registered Representative is part of the hybrid model with the RIA; Start May 2013; 2 Hours/month; 2 hours during trading hours; Work with clients regarding securities transactions. 3)PKSF; INVESTMENT RELATED; 80 STATE ST, ALBANY, NY 12207; FIXED INSURANCE; AGENT; 8/2017; 1 HOUR/MONTH; 1 HOUR/MONTH DURING SECURITIES HOURS; OFFER AND SERVICE FIXED SOLUTIONS TO CLIENTS 4)St. Thomas More-Not investment related-3015 Roundelay Road, Lynchburg, VA 24502-Church-Finance Council-8/1/2019-1 hr/mth-0 during trading hrs-Finance council is a consultative body to aid the Pastor. The finance council shall see the proper financial records are maintained. No check writing authority. 5) AMHERST LAND DEVELOPMENT LLC; NOT INVESTMENT RELATED; 1131 Moreview Drive Lynchburg, VA 24502; Property Ownership; Managing Member; Start March 2013; 0 Hours/Month; 0 Hours during trading hours; This is an active corporation with the SCC but inactive in terms of business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Gerard Edwin Swienton's 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®
CFP®
Start date: 1993
Experience
Current
May 24, 2013 - Present
INVESTMENT LEADERSHIP, LLC
Office #1: 14805 Forest Road Suite 226, Forest, VA 24551RIA
CRD#: 167352
Forest, VA
Current
May 24, 2013 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 14805 Forest Road Suite 226, Forest, VA 24551BD
CRD#: 35747
Forest, VA
Past
June 1, 2009 - June 19, 2013
MORGAN STANLEY
RIA
CRD#: 149777
LYNCHBURG, VA
Past
June 1, 2009 - June 19, 2013
MORGAN STANLEY
BD
CRD#: 149777
LYNCHBURG, VA
Past
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
LYNCHBURG, VA
Past
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
LYNCHBURG, VA
Past
September 18, 1996 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
LYNCHBURG, VA
Past
March 17, 1988 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
October 23, 1985 - March 23, 1988
EDWARD JONES
BD
CRD#: 250
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.RR
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
RR
California(12/20/2013)
RR
Colorado(10/29/2013)
RR
District of Columbia(10/4/2023)
RR
Florida(5/24/2013)
RR
Illinois(12/20/2013)
RR
Maryland(5/24/2013)
RR
New York(1/29/2014)
RR
North Carolina(5/24/2013)
RR
Ohio(2/9/2017)
RR
South Carolina(10/4/2023)
IAR
Texas(10/3/2017)
RR
Virginia(5/24/2013)
IAR
Virginia(6/26/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IL
INVESTMENT LEADERSHIP, LLC
HIGH NET WORTH GROUP, LLC | TUNSTALL CAPITAL MANAGEMENT LLC | INVESTMENT LEADERSHIP, LLC
CRD#: 167352 / SEC#:
Maryland
Registered Investment Advisory firm - (2/26/2025 Terminated)Texas
Registered Investment Advisory firm - (10/2/2017 Conditional Restricted)Virginia
Registered Investment Advisory firm - (5/17/2013 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
14805 Forest Road Suite 226, Forest, VA 24551
Mailing Address
Phone number
(434) 525-5250
Established
Firm type
Fiscal year end
# of Employees
4
Regulatory assets under management
| Total Number of Accounts | 232 |
| AUM (Assets Under Management) | $ 73,106,540 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/25/2025 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
