JS
Joseph F. Swain
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CRD#: 2861966
JS
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Frank Swain was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
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. Independent Insurance Agent, Sole Proprietor, Start: 10/01/96, 611 13th Street Modesto, CA 95354, Insurance Agency/Agent of Fixed insurance products, Not Investment Related, 40 hours per month, 1 hour per day during trading hours. 2. Salvation Army Adult Recovery Center, Non-Profit, Start: 06/14, 1247 S. Wilson Way Stockton, CA 95205, Advisory Board Member, not investment related, 3 hours per month, 0 hours per day during trading hours. 3. Swain Financial Services, Inc., S Corp, Start Date: 01/01/17, 611 13th Street, Modesto, CA 95354, Operating Company, Owner, Not Investment Related, 0 hours per month, 0 hours per day during trading hours. 4. Wellspring Anglican Church, Start Date: 01/01/2019, 1548 Cummins Drive, Modesto, CA 95358, Church, Vestry Member, Church Business Matters, Not Investment Related, 2 hours per month, 0 hours per day during trading hours. 5. Gallo Center of the Arts, Start Date: 11/01/2017, 1000 I Street, Modesto, CA 95354, Non-profit Organization, Performing Arts Center, Advisory Board Member, Attend 1 meeting per quarter and public events, Not Investment Related, 2 hours per month, 0 hours per day during trading hours. 6. Stanislaus Magazine, Start Date: 01/01/2012, No Address, Magazine-Regional, Writer - Non Paid, I submit a general non-financial service related article each issue, Not Investment Related, 1 Hour per month, 0 Hours per day during trading hours. 7. Copper Creek HOA Board, Start Date: 11/30/2022, 10100 Trinity Parkway, Ste. 305, Stockton, CA 95219, Corporation, HOA Board, Current Board Member/Incoming President, Meet monthly to discuss and vote on business related to our homeowners association, we have a 500K account at Morgan Stanley, It is our reserve account and it holds CDs, MM, and 2 Bond MFs, I do not/will not manage it, The Rep will call me periodically to approve rolling the CDs, I believe there is only one sig required, Typically the board president and the finance committee board rep are authorized, Any investment decisions that may arise require the board to approve, I will not advise on the account at Morgan Stanley, Not Investment Related, 10 Hours per month, 0 Hours per day during trading hours.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
November 6, 2015 - December 31, 2023
MUTUAL ADVISORS, LLC
RIA
CRD#: 167658
Modesto, CA
Past
November 6, 2015 - December 31, 2023
MUTUAL SECURITIES, INC.
BD
CRD#: 13092
Modesto, CA
Past
May 24, 2007 - November 20, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
MODESTO, CA
Past
May 24, 2007 - November 20, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
MODESTO, CA
Past
September 1, 2005 - May 25, 2007
PLANMEMBER SECURITIES CORPORATION
RIA
CRD#: 11869
MODESTO, CA
Past
September 1, 2005 - May 25, 2007
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
MODESTO, CA
Past
July 1, 2002 - September 1, 2005
PENSION PLANNERS SECURITIES, INC.
BD
CRD#: 14068
SACRAMENTO, CA
Past
May 5, 1997 - July 1, 2002
UNITED SECURITIES ALLIANCE, INC.
BD
CRD#: 36487
GREENWOOD VILLAGE, CO
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".
MA
MUTUAL ADVISORS, LLC
21:5 WEALTH MANAGEMENT | ZEALAND WEALTH MANAGEMENT FINANCE AND INSURANCE SERVICES | ZEALAND WEALTH MANAGEMENT | YIELD ADVISORY | WISE OAK WEALTH | WISE CAPITAL PARTNERS | WINTHROP TAYLOR FINANCIAL | WILLIS ECKFELDT | WHITEHOUSE WEALTH MANAGEMENT | WEALTH PARTNERS | WEALTH MANAGEMENT STRATEGIES | W. MCKINLEY & ASSOCIATES | VISION WEALTH | TVG FINANCIAL | THE CAPITAL GROUP, LLC | THE APICAL MERISTEM COMPANY | T.R.U.E FINANCIAL GUIDES | SYNERGIST PRIVATE WEALTH | SWAIN FINANCIAL SERVICES | SULLIVAN WEALTH MANAGEMENT GROUP | STONEFORD ADVISORS | STONE & DOWN WEALTH MANAGEMENT | STILLWATER WEALTH MANAGEMENT | STERLING OAKS FINANCIAL SERVICES | SPECTRA PRIVATE WEALTH | SOUTHERN INVESTMENT MANAGEMENT COLLECTIVE | SOUL WEALTH ADVISOR | SONDER PRIVATE WEALTH MANAGEMENT | SILVER STATE WEALTH MANAGEMENT | SIERRA INVESTMENT ADVISORS | SCHREUR FINANCIAL | ROSEHILL ASSET MANAGEMENT | RESULTPOINT FINANCIAL | R. S. PETERSON FINANCIAL | PURPOSE COMPREHENSIVE WEALTH MANAGEMENT | PURPLE CLOVER WEALTH MANAGEMENT | PRIME SOLUTIONS INVESTMENTS | PRICE WEALTH MANAGEMENT | POLARIS FINANCIAL | PLANWISER FINANCIAL | PASCARELLA PLANNING GROUP | OASIS ADVISERS | NORTH COUNTRY WEALTH MANAGEMENT | NFUSE CPAITAL | NEWPORT COAST WEALTH MANAGEMENT | NANCE WEALTH MANAGEMENT | MYERS DEWITT | MUTUAL GROUP INVESTMENT SOLUTIONS | MUTUAL GROUP | MUTUAL ADVISORS, LLC DBA SIERRA INVESTMENT ADVISORS | MUTUAL ADVISORS, LLC | MUELLER WEALTH | MONUMENT INVESTMENT ADVISORS | MOLINA WEALTH MANAGEMENT | MCDONALD HARTMAN WEALTH ADVISORS | LONG TERM CAPITAL MANAGEMENT | LANDOR ADVISORS | KING CAPITAL MANAGEMENT | KIELY CONSULTING | INSIGHTFUL ADVISORY | HOSLER WEALTH MANAGEMENT | HODDER INVESTMENT ADVISORS | HAWTHORNE CAPITAL WEALTH ADVISORS | HADDAM ROAD ADVISORS | GREY FOX FINANCIAL PARTNERS | GLOBAL PORTFOLIO SOLUTIONS | GIANOTTI WEALTH ADVISORY | GAIA CAPITAL MANAGEMENT | FRONT OFFICE WEALTH STRATEGIES | FOX FINANCIAL GROUP | FINANCIAL JOURNEY PARTNERS | FAIRBANKS WEALTH MANAGEMENT | ERX WEALTH PARTNERS | DMI WEALTH MANAGEMENT SOLUTIONS | DMI WEALTH MANAGEMENT & INSURANCE SOLUTIONS | DEL REY CAPITAL MANAGEMENT | DCH WEALTH MANAGEMENT | CONTEXT WEALTH | CONNECT WEALTH | COLLOP CAPITAL | CGT WEALTH ADVISORS | CATALYST PRIVATE WEALTH | CARROLL WEALTH MANAGEMENT | CALIFORNIA RETIREMENT ADVISORS | BILTMORE ADVISORS, INC | BILTMORE ADVISORS | BEYOND FINANCIAL ADVISORS | BEYOND | BARRETT PLANNING GROUP | BAMBOO FINANCIAL ADVISORS | ALL SKY WEALTH MANAGEMENT | ADLER CAPITAL ADVISORS | ADHERENCE CAPITAL MANAGEMENT | 401 FINANCIAL
CRD#: 167658 / SEC#: 801-78089
RIA
Registered Investment Advisory firm - (5/26/2013 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
MA
MUTUAL ADVISORS, LLC
21:5 WEALTH MANAGEMENT | ZEALAND WEALTH MANAGEMENT FINANCE AND INSURANCE SERVICES | ZEALAND WEALTH MANAGEMENT | YIELD ADVISORY | WISE OAK WEALTH | WISE CAPITAL PARTNERS | WINTHROP TAYLOR FINANCIAL | WILLIS ECKFELDT | WHITEHOUSE WEALTH MANAGEMENT | WEALTH PARTNERS | WEALTH MANAGEMENT STRATEGIES | W. MCKINLEY & ASSOCIATES | VISION WEALTH | TVG FINANCIAL | THE CAPITAL GROUP, LLC | THE APICAL MERISTEM COMPANY | T.R.U.E FINANCIAL GUIDES | SYNERGIST PRIVATE WEALTH | SWAIN FINANCIAL SERVICES | SULLIVAN WEALTH MANAGEMENT GROUP | STONEFORD ADVISORS | STONE & DOWN WEALTH MANAGEMENT | STILLWATER WEALTH MANAGEMENT | STERLING OAKS FINANCIAL SERVICES | SPECTRA PRIVATE WEALTH | SOUTHERN INVESTMENT MANAGEMENT COLLECTIVE | SOUL WEALTH ADVISOR | SONDER PRIVATE WEALTH MANAGEMENT | SILVER STATE WEALTH MANAGEMENT | SIERRA INVESTMENT ADVISORS | SCHREUR FINANCIAL | ROSEHILL ASSET MANAGEMENT | RESULTPOINT FINANCIAL | R. S. PETERSON FINANCIAL | PURPOSE COMPREHENSIVE WEALTH MANAGEMENT | PURPLE CLOVER WEALTH MANAGEMENT | PRIME SOLUTIONS INVESTMENTS | PRICE WEALTH MANAGEMENT | POLARIS FINANCIAL | PLANWISER FINANCIAL | PASCARELLA PLANNING GROUP | OASIS ADVISERS | NORTH COUNTRY WEALTH MANAGEMENT | NFUSE CPAITAL | NEWPORT COAST WEALTH MANAGEMENT | NANCE WEALTH MANAGEMENT | MYERS DEWITT | MUTUAL GROUP INVESTMENT SOLUTIONS | MUTUAL GROUP | MUTUAL ADVISORS, LLC DBA SIERRA INVESTMENT ADVISORS | MUTUAL ADVISORS, LLC | MUELLER WEALTH | MONUMENT INVESTMENT ADVISORS | MOLINA WEALTH MANAGEMENT | MCDONALD HARTMAN WEALTH ADVISORS | LONG TERM CAPITAL MANAGEMENT | LANDOR ADVISORS | KING CAPITAL MANAGEMENT | KIELY CONSULTING | INSIGHTFUL ADVISORY | HOSLER WEALTH MANAGEMENT | HODDER INVESTMENT ADVISORS | HAWTHORNE CAPITAL WEALTH ADVISORS | HADDAM ROAD ADVISORS | GREY FOX FINANCIAL PARTNERS | GLOBAL PORTFOLIO SOLUTIONS | GIANOTTI WEALTH ADVISORY | GAIA CAPITAL MANAGEMENT | FRONT OFFICE WEALTH STRATEGIES | FOX FINANCIAL GROUP | FINANCIAL JOURNEY PARTNERS | FAIRBANKS WEALTH MANAGEMENT | ERX WEALTH PARTNERS | DMI WEALTH MANAGEMENT SOLUTIONS | DMI WEALTH MANAGEMENT & INSURANCE SOLUTIONS | DEL REY CAPITAL MANAGEMENT | DCH WEALTH MANAGEMENT | CONTEXT WEALTH | CONNECT WEALTH | COLLOP CAPITAL | CGT WEALTH ADVISORS | CATALYST PRIVATE WEALTH | CARROLL WEALTH MANAGEMENT | CALIFORNIA RETIREMENT ADVISORS | BILTMORE ADVISORS, INC | BILTMORE ADVISORS | BEYOND FINANCIAL ADVISORS | BEYOND | BARRETT PLANNING GROUP | BAMBOO FINANCIAL ADVISORS | ALL SKY WEALTH MANAGEMENT | ADLER CAPITAL ADVISORS | ADHERENCE CAPITAL MANAGEMENT | 401 FINANCIAL
CRD#: 167658 / SEC#: 801-78089
RIA
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Contact information
Main Address
9140 W Dodge Road Suite 230, Omaha, NE 68114
Mailing Address
Phone number
(307) 439-6357
Established
Firm type
Fiscal year end
# of Employees
189
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 21,515 |
| AUM (Assets Under Management) | $ 6,750,194,248 |
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.
