William R. Swartz
SFG WEALTH MANAGEMENT
Towson, MD 21204
Some features on this profile are disabled
CRD#: 2348798
Professional summary
William Robert Swartz, CFP® is a registered financial advisor currently at SFG WEALTH MANAGEMENT located in Towson, Maryland and LPL FINANCIAL LLC located in Salisbury, Maryland.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. William has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
What are your service offerings?
Education Planning
Retirement Planning
Retirement Income Management
Are you a "fiduciary"?
Yes
Aliases
None
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. 11/2/17- Dave Ramsey- Teaching-Severna Park, MD- start date 9/8/17 - 1% 2. 01/11/2018 - Crump - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date 12/13/2017 - 5 Hours Per Month/5 Hours During Securities Trading - Life, Health, Disability, Long-term Care, Fixed Annuities. 3. 11/20/2018 - Swartz Enterprises LLC - Investment Related - Nelsonia, New Church, Temperanceville & Horntown, VA - Real Estate Rental - Started 09/03/2004 - 1 Hours Per Month/0 Hours During Securities Trading - 50/50 partner with brother. 4. 2/28/2020 - SFG Wealth Management - DBA: SFG Wealth Management LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/01/2020 - 160 Hours Per Month/160 Hours During Securities Trading. 5. 3/2/2020 - SFG Wealth Management LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 03/01/2020 - 160 Hours Per Month/160 Hours During Securities Trading - I provide investment advisory services through SFG Wealth Management LLC, an independent investment advisor firm. I started this business activity in 03/2020. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6. 3/12/2020 - SFG Wealth Management, LLC - DBA: (Hybrid) SFG Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 03/01/2020 - 160 Hours Per Month/160 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view William Robert Swartz'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®
Start date: 2011
Experience
Current
November 2, 2017 - Present
SFG WEALTH MANAGEMENT
Office #1: 1104 Kenilworth Drive Suite 500, Towson, MD 21204RIA
CRD#: 285785
Towson, MD
Current
November 2, 2017 - Present
LPL FINANCIAL LLC
Office #1: 543 Riverside Dr Ste B, Salisbury, MD 21801Office #2: 8530 Veteran's Highway, Millersville, MD 21108RIA
BD
CRD#: 6413
Salisbury, MD
Past
September 26, 2018 - January 11, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
SEVERNA PARK, MD
Past
February 10, 2010 - September 15, 2017
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
SEVERNA PARK, MD
Past
December 9, 2008 - December 15, 2009
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
RIA
CRD#: 105790
SEVERNA PARK, MD
Past
May 31, 2005 - December 15, 2009
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
April 14, 2005 - December 31, 2006
JOHN HANCOCK DISTRIBUTORS LLC
RIA
CRD#: 5249
SEVERNA PARK, MD
Past
November 12, 2003 - March 7, 2006
ESSEX NATIONAL SECURITIES, LLC
RIA
CRD#: 25454
NAPA, CA
Past
June 18, 1996 - March 7, 2006
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
November 14, 1995 - May 21, 1996
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Past
July 25, 1995 - November 10, 1995
FIRST FIDELITY BROKERS, INC.
BD
CRD#: 15225
NEWARK, NJ
Past
July 8, 1993 - August 5, 1993
F.N. WOLF & CO., INC.
BD
CRD#: 13051
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".
SW
SFG WEALTH MANAGEMENT
SFG WEALTH MANAGEMENT | SYNERGY FINANCIAL GROUP LLC | SFG WEALTH MANAGEMENT, LLC
CRD#: 285785 / SEC#: 801-108748
RIA
Registered Investment Advisory firm - (12/16/2016 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.RR
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
RR
Arizona(7/26/2021)
RR
Arkansas(10/28/2025)
RR
California(2/9/2023)
RR
Colorado(1/7/2021)
RR
Connecticut(2/9/2023)
RR
Delaware(1/31/2020)
RR
Florida(1/31/2020)
RR
Georgia(7/22/2021)
RR
Indiana(9/1/2021)
RR
Maryland(11/2/2017)
IAR
Maryland(11/2/2017)
RR
New Jersey(7/26/2021)
RR
North Carolina(2/3/2020)
RR
Pennsylvania(1/31/2020)
RR
Rhode Island(1/2/2018)
RR
Texas(1/3/2019)
RR
Virginia(1/16/2020)
RR
Wisconsin(4/22/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SFG WEALTH MANAGEMENT
SFG WEALTH MANAGEMENT | SYNERGY FINANCIAL GROUP LLC | SFG WEALTH MANAGEMENT, LLC
CRD#: 285785 / SEC#: 801-108748
RIA
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Contact information
Main Address
1104 Kenilworth Drive Suite 500, Towson, MD 21204
Mailing Address
Phone number
(410) 825-3200
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,918 |
| AUM (Assets Under Management) | $ 643,567,369 |
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.
