MS
Michael S. Swann
TRUIST ADVISORY SERVICES
FRANKLIN, TN 37064
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CRD#: 2682115
MS
Professional summary
Michael Scott Swann, CFP®, who also goes by Michael S Swann, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Franklin, Tennessee and TRUIST INVESTMENT SERVICES, INC. located in Franklin, Tennessee.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael S Swann
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.
POSITION: Property Owner NATURE: I will be renting a home that I own in Brentwood, TN. INVESTMENT RELATED: No NUMBER OF HOURS: 4 INVESTMENT RELATED HOURS: 0 START DATE: 12/01/2014 ADDRESS: , Brentwood TN DESCRIPTION: Oversee rental property that my wife and I own. THE SWANN GROUP, LLC POSITION: owner NATURE: The Swann Group, LLC will oversee rental and investement properties, buy and sell renovated properties and buy and develop properties and homes to sell. It is owned by me and my wife (Tricia Swann) and she will handle the day to day operations of the business. INVESTMENT RELATED: No NUMBER OF HOURS: 7 SECURITIES TRADING HOURS: 0 START DATE: 06/16/2021 ADDRESS: , Brentwood TN , United States DESCRIPTION: I will assist my wife in making decisions regarding any property or project The Swann Group will make but she will oversee the operations.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Scott Swann'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®
Experience
Current
September 13, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 1109 Murfreesboro Rd, Franklin, TN 37064RIA
CRD#: 283390
FRANKLIN, TN
Current
November 4, 2013 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 1109 Murfreesboro Rd, Franklin, TN 37064Office #2: 4929 Main St, Spring Hill, TN 37174Office #3: 222 W Madison St, Pulaski, TN 38478BD
CRD#: 17499
Franklin, TN
Past
November 4, 2013 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
JOELTON, TN
Past
May 14, 2009 - November 8, 2013
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
NASHVILLE, TN
Past
May 11, 2009 - November 8, 2013
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
NASHVILLE, TN
Past
February 13, 2007 - May 14, 2009
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
NASHVILLE, TN
Past
February 13, 2007 - May 14, 2009
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
NASHVILLE, TN
Past
March 9, 2004 - February 13, 2007
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
RIA
CRD#: 111757
NASHVILLE, TN
Past
April 4, 2003 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
BD
CRD#: 15692
NASHVILLE, TN
Past
November 24, 2000 - April 9, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
July 25, 1996 - November 22, 2000
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
January 26, 1996 - July 8, 1996
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ATLANTA, GA
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".
TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
RIA
Registered Investment Advisory firm - (5/18/2016 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
Alabama(11/4/2013)
RR
Arizona(9/23/2022)
RR
Arkansas(7/12/2023)
RR
California(8/11/2016)
RR
Colorado(2/5/2019)
RR
District of Columbia(5/24/2021)
RR
Florida(11/4/2013)
RR
Georgia(9/23/2021)
RR
Illinois(5/21/2015)
RR
Indiana(6/7/2018)
RR
Kansas(5/17/2023)
RR
Kentucky(11/4/2013)
IAR
Louisiana(12/9/2019)
RR
Louisiana(1/2/2020)
RR
Maryland(4/7/2025)
RR
Massachusetts(1/3/2014)
RR
Mississippi(4/22/2019)
RR
Missouri(10/7/2020)
RR
Nevada(8/11/2016)
RR
New Mexico(9/6/2024)
RR
New York(12/21/2015)
RR
North Carolina(1/2/2020)
RR
Ohio(6/1/2018)
RR
Oklahoma(10/25/2023)
RR
South Carolina(7/23/2025)
RR
Tennessee(11/4/2013)
IAR
Tennessee(9/13/2016)
IAR
Texas(7/5/2017)
RR
Texas(1/21/2020)
RR
Utah(9/12/2018)
RR
Virginia(4/12/2018)
RR
Washington(7/12/2023)
RR
West Virginia(9/26/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
RIA
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Contact information
Main Address
303 Peachtree Street 2nd Floor, Atlanta, GA 30303
Mailing Address
Po Box 4418 Mc 107, Atlanta, GA 30302
Phone number
(800) 874-4770
Established
Firm type
Fiscal year end
# of Employees
2,469
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
