Steve A. Swords
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.
Steve Anthony Swords was a registered financial professional .
Steve is a previously registered financial professional and started their career in finance in 1987. Steve had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2015 - December 31, 2023
DEAN WEALTH MANAGEMENT, LLC
December 5, 2014 - January 2, 2015
AVANTAX INVESTMENT SERVICES, INC.
October 3, 2014 - November 26, 2014
DEAN WEALTH MANAGEMENT, LLC
May 15, 2012 - December 6, 2012
FIRST ALLIED SECURITIES, INC.
January 24, 2012 - May 15, 2012
CAMBRIDGE LEGACY SECURITIES L.L.C.
January 19, 2012 - July 13, 2012
ONYX WEALTH ADVISORS, INC.
January 17, 2012 - November 17, 2014
SWORDS WEALTH MANAGEMENT, LLC
July 17, 2002 - November 28, 2011
CAMBRIDGE LEGACY SECURITIES L.L.C.
January 17, 2001 - July 24, 2002
RUSHMORE SECURITIES CORPORATION
June 18, 1998 - March 21, 2001
NORTHSTAR SECURITIES, INC.
October 23, 1991 - December 9, 1998
DOMINION CAPITAL CORPORATION
April 25, 1989 - November 8, 1991
DERAND/PENNINGTON/BASS, INC.
March 22, 1988 - May 8, 1989
U.S. ADVISORS, INC.
January 12, 1988 - April 5, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
September 24, 1987 - March 8, 1988
AVANTAX INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
DEAN WEALTH MANAGEMENT, LLC
CRD#: 172563 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 357 |
| AUM (Assets Under Management) | $ 47,412,752 |
Red Flags
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