PS
Paul A. Swank
CHIEF ADVISORS CORP
TOPEKA, KS
Some features on this profile are disabled
CRD#: 2784181
PS
Professional summary
Paul Alan Swank is a registered financial advisor currently at CHIEF ADVISORS CORP located in Topeka, Kansas and FIRST ASSET FINANCIAL INC. located in Salina, Kansas.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Paul has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.
FIRST ASSET FINANCIAL INC. (FAF) APPROVES THE FOLLOWING OUTSIDE NON-SECURITIES BUSINESS ACTIVITY THAT IS NOT INVESTMENT RELATED: SWANK WILL BE ENGAGED AS AN INDEPEDENT INSURANCE AGENT. OWNER-5 HRS MO., 3 DURING TRADING HOURS, PROVIDING INSURANCE PRODUCTS TO CLIENTS/PROSPECTS AS PART OF FINANCIAL SERVICE ASSESSMENT, INCLUDING, BUT NOT LIMITED TO, LIFE INSURANCE, HEALTH INSURANCE AND LONG-TERM CARE INSURANCE. RELATIONSHIPS WITH VARIOUS INSURANCE COMPANIES WILL BE MAINTAINED. THIS BUSINESS ACTIVITY IS CONDUCTED THROUGH AN ENTITY, SWANK FINANCIAL STRATEGIES (WHICH OFFERS NO SECURITIES), THAT IS NOT CO-OWNED BY, NOR AN AFFILIATE OF FAF.
2. TOPEKA AREA SCHOOLS-OFFICIATES VOLLEYBALL AND BASKETBALL GAMES.KANSAS STATE HIGH SCHOOL ACTIVITIES ASSOCIATION-LICENSE VOLLEYBALL/BASKETBALL OFFICIAL/INDEPENDENT CONTRACTOR/1977-PRESENT-30 HRS PER MO./0 HRS DURING TRADING HOURS/CONTRACT WITH LOCAL MIDDLE SCHOOL AND HIGH SCHOOLS TO OFFICIATE VOLLEYBALL/BASKETBALL GAMES.
3. 2000-PRESENT-KOENITZER-SAYLES FOUNDATIOM-NON-PROFIT-CFO-P.O. BOX 4033 TOPEKA, KS 66604-INVESTMENT RELATED-PREPARE FINANCIAL REPORTS, MONITOR INVESTMENT ACCOUNTS-4 HRS PER MONTH-2 HRS DURING TRADING HOURS.4. BUSINESS BUILDERS OF TOPEKA, 417 SW 37TH ST., TOPEKA, KS 66611-INVESTMENT RELATED-REFER BUSINESS LEADS TO FELLOW MEMBERS WHO ARE SMALL BUSINESS OWNERS BEGINNING 01/2015, 6 HRS PER MO. 5. TOPEKA FESTIVAL SINGERS, PO BOX 4185, TOPEKA, KS 66604-BOARD MEMBER FOR NON PROFIT ORGANIZATION, NOT INVESTMENT RELATED 6. COUNTRYSIDE UNITED METHODIST CHURCH, 3221 SW BURLINGAME RD, TOPEKA, KS 66611, YOUNG ADULT ACTIVITY COORDINATOR, NOT INVESTMENT RELATED, 16HRS PER MONTH. ALL SERVICES AND PRODUCTS THAT ARE OFFERED BY THIS PERSON (OR THEIR DBA) ARE THE SOLE RESPONSIBILITY OF THIS AGENT (OR THEIR DBA) ALONE AND ARE NOT THE RESPONSIBILITY OF FAF. FAF IS NOT LIABLE IN ANY MANNER REGARDING THIS "OUTSIDE BUSINESS ACTIVITY".
CRS (Client Relationship Summary) - RIA
Click below to view Paul Alan Swank'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®
NoneExperience
Current
May 14, 2015 - Present
CHIEF ADVISORS CORP
RIA
CRD#: 125261
TOPEKA, KS
Current
May 14, 2015 - Present
FIRST ASSET FINANCIAL INC.
Office #1: 110 E. Iron Ave., Salina, KS 67401BD
CRD#: 139107
Salina, KS
Past
June 10, 2013 - May 2, 2015
IPI WEALTH MANAGEMENT, INC.
RIA
CRD#: 111872
TOPEKA, KS
Past
June 10, 2013 - May 2, 2015
INVESTMENT PLANNERS, INC.
BD
CRD#: 18557
TOPEKA, KS
Past
June 2, 2011 - April 1, 2013
INVESTMENT ADVISORS CORP
RIA
CRD#: 117531
TOPEKA, KS
Past
June 2, 2011 - April 1, 2013
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
TOPEKA, KS
Past
May 11, 2011 - June 1, 2011
INVESTMENT ADVISORS CORP
RIA
CRD#: 117531
TOPEKA, KS
Past
May 11, 2011 - June 1, 2011
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
TOPEKA, KS
Past
February 4, 2008 - May 2, 2011
COORDINATED CAPITAL SECURITIES, INC.
RIA
CRD#: 14762
TOPEKA, KS
Past
February 4, 2008 - May 2, 2011
COORDINATED CAPITAL SECURITIES, INC.
BD
CRD#: 14762
TOPEKA, KS
Past
February 13, 2007 - December 31, 2007
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
TOPEKA, KS
Past
January 2, 2004 - December 31, 2007
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
TOPEKA, KS
Past
October 1, 2002 - December 31, 2003
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
August 9, 1996 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
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
Kansas(5/14/2015)
IAR
Kansas(5/14/2015)
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
CA
CHIEF ADVISORS CORP
CHIEF ADVISORS CORP | CHIEF ADVISORS CORPORATION
CRD#: 125261 / SEC#:
Kansas
Registered Investment Advisory firm - (6/11/2003 Approved)Michigan
Registered Investment Advisory firm - (3/25/2008 Approved)Missouri
Registered Investment Advisory firm - (4/22/2013 Approved)Nebraska
Registered Investment Advisory firm - (12/31/2011 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
110 E. Iron Ave, Suite B, Salina, KS 67401
Mailing Address
P.o. Box 1364, Salina, KS 67402-1364
Phone number
(785) 827-7700
Established
Firm type
Fiscal year end
# of Employees
9
Regulatory assets under management
| Total Number of Accounts | 344 |
| AUM (Assets Under Management) | $ 92,800,290 |
Red Flags
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