Ronald T. Swanick

INDEPENDENT WEALTH NETWORK

Portsmouth, NH 03801

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CRD#: 2494653

Professional summary

Ronald T Swanick, who also goes by Ronald Thomas Swanick Jr, Ronald Thomas Swanick, is a registered financial advisor currently at INDEPENDENT WEALTH NETWORK, INC. located in Portsmouth, New Hampshire.

Ronald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Ronald has worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ronald Thomas Swanick Jr | Ronald Thomas Swanick

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. SWAN FINANCIAL GROUP; INVESTMENT RELATED; 1 NEW HAMPSHIRE AVE. SUITE 125, POSTSMOITH, NH 03801; dba WHICH PROVIDES ADVISORY SERVICES OF INDEPENDENT WEALTH NETWORK; 160 HOURS MONTHLY; 160 HOURS DURING SECURITIES TRADING HOURS; 10/2025 2. SWAN INSURANCE GROUP; NON-INVESTMENT RELATED; 1 NEW HAMPSHIRE AVE. SUITE 125, POSTSMOITH, NH 03801; INSURANCE AND FIXED ANNUITIES; OWNER; 20 HOURS PER MONTH; 1 HOUR DURING SECURITIES TRADING HOURS; LICENSED TO OFFER FIXED ANNUITIES TO CLIENTS IF APPROPRIATE; 10/2025

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald T Swanick'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

October 21, 2025 - Present

INDEPENDENT WEALTH NETWORK, INC.

Office #1: Swan Financial Group 1 New Hampshire Ave Suite #125, Portsmouth, NH 03801

RIA

CRD#: 286262

Portsmouth, NH

Past

May 29, 2025 - October 17, 2025

SIMPLICITY WEALTH

RIA

CRD#: 300572

Portsmouth, NH

Past

June 27, 2022 - May 29, 2025

BROWNSTONE FINANCIAL GROUP LLC

RIA

CRD#: 306404

LONDONDERRY, NH

Past

November 5, 2019 - February 7, 2024

SIMPLICITY WEALTH

RIA

CRD#: 300572

Londonderry, NH

Past

September 19, 2018 - March 21, 2019

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

ANDOVER, MA

Past

March 20, 2013 - February 14, 2017

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

JERSEY CITY, NJ

Past

December 7, 2011 - March 4, 2013

DESTRA CAPITAL INVESTMENTS LLC

CRD#: 148299

BOZEMAN, MT

Past

May 3, 2010 - December 2, 2011

LOCORR DISTRIBUTORS, LLC

CRD#: 41782

EXCELSIOR, MN

Past

February 7, 2007 - April 28, 2009

MML DISTRIBUTORS, LLC

CRD#: 38030

SPRINGFIELD, MA

Past

August 21, 2006 - February 2, 2007

TOUCHSTONE ADVISORS INC

RIA

CRD#: 107028

CINCINNATI, OH

Past

August 21, 2006 - January 4, 2007

TOUCHSTONE SECURITIES, INC.

CRD#: 1526

STAMFORD, CT

Past

June 16, 2005 - July 24, 2006

USALLIANZ SECURITIES, INC.

RIA

CRD#: 40875

BEVERLY, MA

Past

May 19, 2005 - August 16, 2006

USALLIANZ SECURITIES, INC.

CRD#: 40875

BEVERLY, MA

Past

June 13, 2003 - November 24, 2004

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

December 13, 2002 - June 13, 2003

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

March 30, 2001 - December 13, 2002

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

July 31, 2000 - December 21, 2000

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

January 16, 1996 - February 4, 1999

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

September 13, 1994 - December 8, 1995

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

CRD#: 17580

BOSTON, 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".

INDEPENDENT WEALTH NETWORK, INC.

CRD#: 286262 / SEC#: 801-110559

RIA

Registered Investment Advisory firm - (6/1/2017 Approved)

Ohio

Registered Investment Advisory firm - (8/26/2019 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.

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

Maine
(10/22/2025)

IAR

New Hampshire
(10/21/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/16/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/4/1995

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: 4/23/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/12/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

INDEPENDENT WEALTH NETWORK, INC.

CRD#: 286262 / SEC#: 801-110559

RIA

Registered Investment Advisory firm - (6/1/2017 Approved)

Ohio

Registered Investment Advisory firm - (8/26/2019 Terminated)

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Contact information

Main Address

2350 Nw 128th St, Urbandale, IA 50323

Mailing Address

Phone number

(515) 461-5123

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

250106 ADV 2A (1/6/2025)

Regulatory assets under management

Total Number of Accounts	2,626
AUM (Assets Under Management)	$ 422,577,169

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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Ronald T. Swanick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald T Swanick's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIMPLICITY WEALTH

BROWNSTONE FINANCIAL GROUP LLC

SIMPLICITY WEALTH

EMPOWER FINANCIAL SERVICES, INC.

NYLIFE DISTRIBUTORS LLC

DESTRA CAPITAL INVESTMENTS LLC

LOCORR DISTRIBUTORS, LLC

MML DISTRIBUTORS, LLC

TOUCHSTONE ADVISORS INC

TOUCHSTONE SECURITIES, INC.

USALLIANZ SECURITIES, INC.

USALLIANZ SECURITIES, INC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

PRUCO SECURITIES, LLC.

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

LPL FINANCIAL LLC

FIDELITY DISTRIBUTORS COMPANY LLC

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

INDEPENDENT WEALTH NETWORK, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/16/2019

Series 63

Date: 1/4/1995

SIE

Date: 10/1/2018

Series 7

Date: 4/23/2001

Series 6

Date: 9/12/1994

Current Firm

INDEPENDENT WEALTH NETWORK, INC.

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INDEPENDENT WEALTH NETWORK, INC.

TRUST BUT VERIFY

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