Daniel E. Wolford
SWISHER FINANCIAL CONCEPTS
WESTERVILLE, OH 43082
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CRD#: 2886642
Professional summary
Daniel Edward Wolford, CFP® is a registered financial advisor currently at SWISHER FINANCIAL CONCEPTS, INC. located in Westerville, Ohio and PRIVATE CLIENT SERVICES, LLC located in Mansfield, Ohio.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Daniel has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Estate Planning
Comprehensive Financial Planni...
Retirement Planning
Investment Planning
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Edward Wolford'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®
CFP®
Start date: 1998
Experience
Current
October 11, 2002 - Present
SWISHER FINANCIAL CONCEPTS, INC.
Office #1: 612 Office Parkway Suite B, Westerville, OH 43082RIA
CRD#: 121384
WESTERVILLE, OH
Current
February 1, 2019 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 1230 Lexington Ave, Mansfield, OH 44907Office #2: 612 Office Parkway Suite B, Westerville, OH 43082RIA
BD
CRD#: 120222
Mansfield, OH
Past
May 28, 1997 - February 1, 2019
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
WESTERVILLE, OH
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".
SF
SWISHER FINANCIAL CONCEPTS, INC.
SWISHER FINANCIAL CONCEPTS | SWISHER FINANCIAL CONCEPTS, INC.
CRD#: 121384 / SEC#: 801-115211
RIA
Registered Investment Advisory firm - (5/7/2019 Approved)Florida
Registered Investment Advisory firm - (5/28/2019 Terminated)Ohio
Registered Investment Advisory firm - (5/29/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (5/28/2019 Terminated)Texas
Registered Investment Advisory firm - (5/28/2019 Terminated)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
Florida(2/1/2019)
RR
Indiana(2/1/2019)
RR
Kentucky(2/1/2019)
RR
Michigan(2/1/2019)
RR
North Carolina(2/1/2019)
IAR
Ohio(10/11/2002)
RR
Ohio(2/1/2019)
RR
Pennsylvania(2/1/2019)
RR
Texas(2/5/2019)
RR
Virginia(2/1/2019)
RR
Washington(2/1/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SWISHER FINANCIAL CONCEPTS, INC.
SWISHER FINANCIAL CONCEPTS | SWISHER FINANCIAL CONCEPTS, INC.
CRD#: 121384 / SEC#: 801-115211
RIA
Registered Investment Advisory firm - (5/7/2019 Approved)Florida
Registered Investment Advisory firm - (5/28/2019 Terminated)Ohio
Registered Investment Advisory firm - (5/29/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (5/28/2019 Terminated)Texas
Registered Investment Advisory firm - (5/28/2019 Terminated)PREMIUM
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Contact information
Main Address
612 Office Parkway Suite B, Westerville, OH 43082
Mailing Address
Phone number
(614) 890-1930
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,455 |
| AUM (Assets Under Management) | $ 316,989,035 |
Red Flags
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Company Information
SWISHER FINANCIAL CONCEPTS, INC.
CRD#: 121384Westerville, OH 43082TRUST BUT VERIFY
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Contact information
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