Douglas Scott Ewald | Financial Professional

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.

Douglas Scott Ewald, who also goes by Doug Scott Ewald, was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 1999. Douglas had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Doug Scott Ewald

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 26, 2011 - October 28, 2016

SWBC INVESTMENT COMPANY

RIA

CRD#: 140994

SAN ANTONIO, TX

Past

May 12, 2011 - October 28, 2016

SWBC INVESTMENT SERVICES, LLC

BD

CRD#: 133715

SAN ANTONIO, TX

Past

December 14, 2007 - April 20, 2011

SMITH HAYES ADVISERS INC

RIA

CRD#: 110776

OMAHA, NE

Past

December 6, 2007 - April 20, 2011

SMITH HAYES FINANCIAL SERVICES CORPORATION

BD

CRD#: 17059

OMAHA, NE

Past

December 16, 2005 - November 30, 2007

AXOS CLEARING LLC

BD

CRD#: 117176

OMAHA, NE

Past

October 25, 2004 - December 7, 2005

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

MONUMENT, CO

Past

September 6, 2001 - December 7, 2005

ADVISORS ASSET MANAGEMENT, INC.

BD

CRD#: 46727

MONUMENT, CO

Past

December 15, 1999 - August 13, 2001

USAA INVESTMENT SERVICES COMPANY

BD

CRD#: 5475

SAN ANTONIO, TX

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".

SI

SWBC INVESTMENT COMPANY

CRD#: 140994 / SEC#: 801-68054

RIA

Registered Investment Advisory firm - (6/25/2007 Approved)

Florida

Registered Investment Advisory firm - (12/26/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2007 Terminated)

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).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

RR

IAR

Series 66

Date: 9/28/2004

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 9/17/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/28/2016

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 55

Date: 8/3/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

RR

Series 7

Date: 12/14/1999

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 53

Date: 3/5/2008

Municipal Securities Principal Examination

Principal/Supervisory Exam

RR

Series 24

Date: 11/3/2005

General Securities Principal Examination

Current Firm

SI

SWBC INVESTMENT COMPANY

CRD#: 140994 / SEC#: 801-68054

RIA

Registered Investment Advisory firm - (6/25/2007 Approved)

Florida

Registered Investment Advisory firm - (12/26/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2007 Terminated)

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

9311 San Pedro Avenue Suite 600, San Antonio, TX 78216-4459

Mailing Address

Phone number

(210) 376-3279

Established

Firm type

Fiscal year end

# of Employees

28

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SWBC INVESTMENT COMPANY WRAP PROGRAM (3/31/2025)

SWBC INVESTMENT COMPANY ADV SCHEDULE A PART 2 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	406
AUM (Assets Under Management)	$ 229,193,705

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.

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Advisor Monitoring

Firm Stability Insights

Douglas S. Ewald

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SWBC INVESTMENT SERVICES, LLC

SMITH HAYES ADVISERS INC

SMITH HAYES FINANCIAL SERVICES CORPORATION

AXOS CLEARING LLC

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

USAA INVESTMENT SERVICES COMPANY

Primary Firm SEC Registration

SWBC INVESTMENT COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 9/28/2004

Series 63

Date: 9/17/2001

SIE

Date: 10/28/2016

Series 55

Date: 8/3/2000

Series 7

Date: 12/14/1999

Series 53

Date: 3/5/2008

Series 24

Date: 11/3/2005

Current Firm

SWBC INVESTMENT COMPANY

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SWBC INVESTMENT COMPANY

TRUST BUT VERIFY

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