Ian S. Mayville

SWORDS CAPITAL MANAGEMENT

BLUE RIDGE, GA

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CRD#: 2733238

Professional summary

Ian Swords Mayville is a registered financial advisor currently at SWORDS CAPITAL MANAGEMENT, LLC located in Blue Ridge, Georgia and LPL FINANCIAL LLC located in Boca Raton, Florida.

Ian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Ian has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

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. 06/25/2024 - Swords Capital Management, LLC - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 7/1/2024 - 160 Hrs/Mo; 7 Hrs During Trading. 2. 11/05/2024 - Swords Capital Management LLC - Registered Investment Advisor Hybrid - Investment Related - At Reported Business Location(s) - Start Date 10/23/2024 - 160 Hours Per Month/ 7 Hours During Trading - I provide investment advisory services through Swords Capital Management LLC, an independent investment advisor firm. I started this business activity in 10/2024. 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 service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ian Swords Mayville'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®

None

Experience

Current

September 30, 2024 - Present

SWORDS CAPITAL MANAGEMENT, LLC

RIA

CRD#: 330781

BLUE RIDGE, GA

Current

November 13, 2009 - Present

LPL FINANCIAL LLC

RIA

CRD#: 6413

Boca Raton, FL

Past

November 24, 2009 - December 24, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

BOCA RATON, FL

Past

October 24, 1996 - November 17, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

BOCA RATON, FL

Past

October 18, 1996 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 18, 1996 - November 17, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

BOCA RATON, FL

Past

May 2, 1996 - September 4, 1996

ASH FINANCIAL CORP.

CRD#: 24990

GREAT NECK, NY

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.

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

Arizona
(4/2/2020)

California
(11/13/2009)

Florida
(11/13/2009)

IAR

Florida
(10/9/2024)

Georgia
(4/29/2024)

IAR

Georgia
(9/30/2024)

New Jersey
(11/13/2009)

North Carolina
(11/13/2009)

IAR

North Carolina
(10/8/2024)

Pennsylvania
(1/3/2025)

Tennessee
(8/5/2019)

Virginia
(2/3/2010)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/18/2025

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/8/1996

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: 5/1/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/21/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SWORDS CAPITAL MANAGEMENT, LLC

CRD#: 330781 / SEC#:

Florida

Registered Investment Advisory firm - (10/9/2024 Approved)

Georgia

Registered Investment Advisory firm - (9/30/2024 Approved)

North Carolina

Registered Investment Advisory firm - (9/30/2024 Approved)

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Contact information

Main Address

Blue Ridge, GA

Mailing Address

Phone number

(561) 702-7144

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	125
AUM (Assets Under Management)	$ 47,000,000

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Ian S. Mayville

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ian Swords Mayville's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

ASH FINANCIAL CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/18/2025

Series 63

Date: 5/8/1996

SIE

Date: 10/1/2018

Series 7

Date: 5/1/1996

Series 24

Date: 1/21/2010

FINRA

Current Firm

SWORDS CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SWORDS CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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