Gerard E. Swienton

INVESTMENT LEADERSHIP

Forest, VA 24551

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CRD#: 1424932

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.

Gerard is registered as an IAR (Investment Advisor 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.

The advisor shows no other business activity.

Blog Corner

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^®

Certified Financial Planner

Start date: 1993

Experience

Current

May 24, 2013 - Present

INVESTMENT LEADERSHIP, LLC

Office #1: 14805 Forest Road Suite 226, Forest, VA 24551

RIA

CRD#: 167352

Forest, VA

Past

May 24, 2013 - December 31, 2025

PURSHE KAPLAN STERLING INVESTMENTS

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

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.

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

CRD#: 6555

BALTIMORE, MD

Past

October 23, 1985 - March 23, 1988

EDWARD JONES

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.

Highlighted states indicate IAR registrations

IAR

Texas
(10/3/2017)

IAR

Virginia
(6/26/2013)

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: 8/20/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/2/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/1985

General Securities Representative Examination

Current Firm

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)

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).

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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

Documents

Latest Form ADV

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
10/30/2025	Cover Page	Report
02/25/2025	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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Gerard E. Swienton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gerard Edwin Swienton's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTMENT LEADERSHIP, LLC

PURSHE KAPLAN STERLING INVESTMENTS

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 65

Date: 8/20/1996

Series 63

Date: 12/2/1985

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/19/1985

Current Firm

INVESTMENT LEADERSHIP, LLC

Contact information

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

INVESTMENT LEADERSHIP, LLC

TRUST BUT VERIFY

Contact information

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