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Stephen D. Swift
PERIGON WEALTH MANAGEMENT
SYRACUSE, NY 13204
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CRD#: 1819904
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Professional summary
Stephen Dean Swift, who also goes by Steve Swift, is a registered financial advisor currently at PERIGON WEALTH MANAGEMENT, LLC located in Syracuse, New York.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Stephen has worked at 7 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Swift
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] NORTHEAST FINANICAL ALLIANCE, LLC; NOT-INVESTMENT RELATED; 507 PLUM STREET, SUITE 102, SYRACUSE, NY 13204; ENTITY CREATED FOR INSURANCE SALES; INSURANCE AGENT; START DATE 03/2002; APPROX 1 HR/MONTH, 0 HRS DURING SECURITIES TRADING. [2] STEPHEN SWIFT-SOLE PROPRIETOR; NOT-INVESTMENT RELATED; 507 PLUM STREET, SUITE 102, SYRACUSE, NY 13204; INSURANCE SALES; INSURANCE AGENT; START DATE 02/1988; APPROX 1 HR/MONTH, 0 HRS DURING SECURITIES TRADING. [3] BLUE WATER CAPITAL MANAGEMENT; INVESTMENT-RELATED; 507 PLUM STREET, SUITE 102, SYRACUSE, NY 13204; BLUE WATER CAPITAL MANAGEMENT IS A DBA FOR INVESTMENT ADVISORY SERVICES WITH PERIGON WEALTH MANAGEMENT, LLC; 01/2024; 160 HOURS PER MONTH, CONDUCTED DURING SECURITIES TRADING HOURS; FINANCIAL PLANNING AND INVESTMENT MANAGEMENT SERVICES PROVIDED TO CLIENTS.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Dean Swift'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®
NoneExperience
Current
January 3, 2024 - Present
PERIGON WEALTH MANAGEMENT, LLC
Office #1: 507 Plum Street Suite 102, Syracuse, NY 13204RIA
CRD#: 131037
SYRACUSE, NY
Past
May 12, 2021 - March 29, 2024
BLUE WATER CAPITAL MANAGEMENT, LLC
RIA
CRD#: 143414
SYRACUSE, NY
Past
February 3, 2009 - December 31, 2015
BLUE WATER CAPITAL MANAGEMENT, LLC
RIA
CRD#: 143414
SYRACUSE, NY
Past
April 10, 2006 - December 31, 2010
PORTFOLIO CONSULTING GROUP INC
RIA
CRD#: 112017
EAST SYRACUSE, NY
Past
September 3, 2004 - December 31, 2012
HAZARD & SIEGEL, INC.
BD
CRD#: 2048
SYRACUSE, NY
Past
January 2, 2002 - August 24, 2004
LEIGH BALDWIN & CO., LLC
BD
CRD#: 38751
CAZENOVIA, NY
Past
June 8, 1998 - December 31, 2001
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
August 24, 1988 - July 24, 1998
BERKSHIRE EQUITY SALES, INC.
BD
CRD#: 87
PITTSFIELD, MA
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".
PW
PERIGON WEALTH MANAGEMENT, LLC
ANTHEM ADVISORS | WEALTH ADVISORS | STAKEHOLDERS CAPITAL | PRUDEO PARTNERS | PM WEALTH MANAGEMENT | PERIGON WEALTH MANAGEMENT, LLC | COLLABORATION CAPITAL | COGNIZANT WEALTH ADVISORS | BURLESON & COMPANY | BLUE WATER CAPITAL MANAGEMENT | ANTHEM WEALTH PARTNERS
CRD#: 131037 / SEC#: 801-62988
RIA
Registered Investment Advisory firm - (4/7/2004 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.Highlighted states indicate IAR registrations
IAR
New York(1/3/2024)
IAR
Texas(1/3/2024)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
PW
PERIGON WEALTH MANAGEMENT, LLC
ANTHEM ADVISORS | WEALTH ADVISORS | STAKEHOLDERS CAPITAL | PRUDEO PARTNERS | PM WEALTH MANAGEMENT | PERIGON WEALTH MANAGEMENT, LLC | COLLABORATION CAPITAL | COGNIZANT WEALTH ADVISORS | BURLESON & COMPANY | BLUE WATER CAPITAL MANAGEMENT | ANTHEM WEALTH PARTNERS
CRD#: 131037 / SEC#: 801-62988
RIA
Registered Investment Advisory firm - (4/7/2004 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
201 Mission Street Suite 1825, San Francisco, CA 94105
Mailing Address
Phone number
(877) 977-2555
Established
Firm type
Fiscal year end
# of Employees
141
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,456 |
| AUM (Assets Under Management) | $ 8,714,418,958 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2024 | ||
| 10/24/2023 |
Red Flags
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Company Information
PERIGON WEALTH MANAGEMENT, LLC
CRD#: 131037Syracuse, NY 13204TRUST BUT VERIFY
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Contact information
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