Janice M. Swickard

KESTRA ADVISORY SERVICES

Newburgh, IN 47630

Some features on this profile are disabled

CRD#: 1694831

Professional summary

Janice M Swickard, who also goes by Janice M Cotton, Janice Marie Mcgiff, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Newburgh, Indiana and KESTRA INVESTMENT SERVICES, LLC located in Newburgh, Indiana.

Janice is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Janice has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Janice M Cotton | Janice Marie Mcgiff

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.

Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 07/15/2025 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Name: FINCH FARMS LLC POSITION: Member NATURE: Real Estate INVESTMENT RELATED: No # OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/12/2011 ADDRESS: 4498 E County Road 550 N, Grandview IN 47615, United States DESCRIPTION: Attend the annual meeting. Name: EVERSTREAM WEALTH POSITION: Office Manager NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes # OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 07/15/2025 ADDRESS: 4155 State Route 261 Suite A, Newburgh IN 47630, United States DESCRIPTION: Process new account and account paperwork. Receive clients, process mail.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Janice M Swickard'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

July 15, 2025 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 1018 Lakefield Dr, Newburgh, IN 47630Office #2: 4155 State Route 261, Newburgh, IN 47630

RIA

CRD#: 283330

Newburgh, IN

Current

July 15, 2025 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 4155 State Route 261, Newburgh, IN 47630

CRD#: 42046

Newburgh, IN

Past

May 9, 2023 - April 2, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

EVANSVILLE, IN

Past

May 9, 2023 - April 2, 2025

LPL FINANCIAL LLC

CRD#: 6413

EVANSVILLE, IN

Past

March 5, 2021 - April 20, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

EVANSVILLE, IN

Past

March 5, 2021 - April 20, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

EVANSVILLE, IN

Past

October 6, 2014 - April 22, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

NEWBURGH, IN

Past

October 6, 2014 - April 22, 2020

LPL FINANCIAL LLC

CRD#: 6413

NEWBURGH, IN

Past

April 14, 2004 - October 2, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

EVANSVILLE, IN

Past

June 19, 1996 - October 2, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

EVANSVILLE, IN

Past

August 10, 1987 - May 29, 1996

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

LOUISVILLE, KY

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".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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

Colorado
(7/15/2025)

Indiana
(7/15/2025)

IAR

Indiana
(7/15/2025)

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 66

Date: 9/12/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/30/1987

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: 7/18/1987

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	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.

Similar Advisors

David Anderson

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

IAR

Newburgh, IN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Janice M. Swickard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Janice M Swickard's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.J.B. HILLIARD, W.L. LYONS, LLC

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/12/2003

Series 63

Date: 7/30/1987

SIE

Date: 10/1/2018

Series 7

Date: 7/18/1987

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

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

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors