Edward M. Swan
Professional summary
Edward Michael Swan II, who also goes by Edward M Swan, Ted Swan, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Bensalem, Pennsylvania.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Edward has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Edward Michael Swan II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Edward Michael Swan II's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 29, 2013 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 3220 Tillman Drive, Bensalem, PA 19020February 28, 2013 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 3220 Tillman Drive, Bensalem, PA 19020February 26, 2010 - September 10, 2012
CITIZENS SECURITIES, INC.
October 1, 2000 - January 19, 2010
WELLS FARGO CLEARING SERVICES, LLC
October 19, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
July 21, 1997 - September 23, 1999
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/7/2023)
(3/20/2023)
(12/17/2018)
(3/25/2019)
(4/23/2013)
(5/23/2013)
(5/23/2013)
(4/23/2013)
(4/23/2013)
(4/23/2013)
(4/23/2013)
(4/23/2013)
(4/23/2013)
(4/23/2013)
(3/4/2013)
(4/24/2013)
(8/15/2020)
(8/15/2020)
(4/23/2013)
(4/29/2013)
(4/23/2013)
(4/23/2013)
(4/23/2013)
(4/23/2013)
Exams
FINRA
Current Firm
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
