Thomas W. Swift

FINANCIAL AVENGERS

Oakland, CA 94607

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CRD#: 2867067

Professional summary

Thomas Wainwright Swift is a registered financial advisor currently at FINANCIAL AVENGERS, INC. located in Oakland, California.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Thomas has worked at 6 firms and has passed the Series 63, 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.

Independent Insurance Agent for various independent insurance companies. Mr. Swift is a writer of plays, scripts, and books and spends less than 5% of his time doing so. He also spends less than 5% of his time on Tom Swift & His Amazing Productions LLC, working as a producer. This includes development and production of entertainment content - financial and otherwise. Finally, Mr. Swift is the Manager of Pointless LLC, a Limited Liability Corporation that manages a Family-Owned Vacation Rental Property in Northern, Michigan. Nearly all of the time spent on these ventures is outside of the normal operational hours of Financial Avengers Inc.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Wainwright Swift'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

September 14, 2000 - Present

FINANCIAL AVENGERS, INC.

Office #1: 827 Broadway, Suite 210, Oakland, CA 94607

RIA

CRD#: 119636

Oakland, CA

Past

January 3, 2003 - January 29, 2010

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

SAN FRANCISCO, CA

Past

January 4, 2002 - December 31, 2002

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

September 20, 2000 - November 2, 2000

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

August 14, 2000 - December 31, 2001

CHRISTOPHER STREET FINANCIAL, INC.

CRD#: 10250

NEW YORK, NY

Past

March 19, 1997 - August 14, 2000

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

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".

FINANCIAL AVENGERS, INC.

CRD#: 119636 / SEC#: 801-78015

RIA

Registered Investment Advisory firm - (5/14/2013 Approved)

California

Registered Investment Advisory firm - (6/16/2013 Terminated)

Texas

Registered Investment Advisory firm - (3/21/2014 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

California
(9/14/2000)

IAR

Texas
(3/26/2007)

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

Series 63

Date: 4/1/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/18/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/30/2001

General Securities Principal Examination

Current Firm

FINANCIAL AVENGERS, INC.

CRD#: 119636 / SEC#: 801-78015

RIA

Registered Investment Advisory firm - (5/14/2013 Approved)

California

Registered Investment Advisory firm - (6/16/2013 Terminated)

Texas

Registered Investment Advisory firm - (3/21/2014 Terminated)

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Contact information

Main Address

827 Broadway, Suite 210, Oakland, CA 94607

Mailing Address

Phone number

(415) 773-2174

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE DOCUMENT FOR ALL CLIENTS (8/13/2025)

Regulatory assets under management

Total Number of Accounts	739
AUM (Assets Under Management)	$ 433,314,801

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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Firm Stability Insights

Thomas W. Swift

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Wainwright Swift's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

NATHAN & LEWIS SECURITIES, INC.

KESTRA INVESTMENT SERVICES, LLC

CHRISTOPHER STREET FINANCIAL, INC.

SECURITIES AMERICA, INC.

Primary Firm SEC Registration

FINANCIAL AVENGERS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/1/1997

Series 7

Date: 3/18/1997

Series 24

Date: 7/30/2001

Current Firm

FINANCIAL AVENGERS, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL AVENGERS, INC.

TRUST BUT VERIFY

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