M M. Swami

TOUCHSTONE ADVISORS

CINCINNATI, OH 45202-4203

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CRD#: 3066078

Professional summary

M Molly Swami, who also goes by M Molly Krueger, Molly Margaret Swami, Molly Swami, is a registered financial advisor currently at TOUCHSTONE ADVISORS INC located in Cincinnati, Ohio and TOUCHSTONE SECURITIES, INC. located in Cincinnati, Ohio.

M is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. M has worked at 6 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

M Molly Krueger | Molly Margaret Swami | Molly Swami

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view M Molly Swami'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®

None

Experience

Current

January 2, 2015 - Present

TOUCHSTONE ADVISORS INC

Office #1: 303 Broadway Suite 1100, Cincinnati, OH 45202-4203

RIA

CRD#: 107028

CINCINNATI, OH

Current

August 29, 2006 - Present

TOUCHSTONE SECURITIES, INC.

Office #1: 303 Broadway Suite 1100, Cincinnati, OH 45202

CRD#: 1526

CINCINNATI, OH

Current

February 17, 2016 - Present

W&S BROKERAGE SERVICES, INC.

Office #1: 303 Broadway 16th Floor, Cincinnati, OH 45202

RIA

CRD#: 8099

Cincinnati, OH

Past

August 30, 2006 - December 9, 2009

IFS FUND DISTRIBUTORS, INC.

CRD#: 24075

CINCINNATI, OH

Past

August 29, 2006 - August 4, 2014

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

CINCINNATI, OH

Past

June 30, 2006 - August 28, 2006

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

CINCINNATI, OH

Past

October 1, 1998 - June 30, 2006

CARILLON INVESTMENTS, INC.

CRD#: 14646

CINCINNATI, 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".

TOUCHSTONE ADVISORS INC

CRD#: 107028 / SEC#: 801-45963

RIA

Registered Investment Advisory firm - (2/28/1994 Approved)

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.

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

Kentucky
(6/24/2015)

Ohio
(8/29/2006)

IAR

Ohio
(1/2/2015)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/24/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/30/2014

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/23/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/25/2001

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

TOUCHSTONE ADVISORS INC

CRD#: 107028 / SEC#: 801-45963

RIA

Registered Investment Advisory firm - (2/28/1994 Approved)

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Contact information

Main Address

303 Broadway Suite 1100, Cincinnati, OH 45202-4203

Mailing Address

Phone number

(513) 362-8000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	41
AUM (Assets Under Management)	$ 29,132,797,072

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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Advisor Monitoring

Firm Stability Insights

M M. Swami

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view M Molly Swami's CRS (Customer Relationship Summary).

Certified licenses

Experience

TOUCHSTONE SECURITIES, INC.

W&S BROKERAGE SERVICES, INC.

IFS FUND DISTRIBUTORS, INC.

W&S BROKERAGE SERVICES, INC.

AMERITAS INVESTMENT COMPANY, LLC

CARILLON INVESTMENTS, INC.

Primary Firm SEC Registration

TOUCHSTONE ADVISORS INC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/24/2015

Series 65

Date: 12/30/2014

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 6

Date: 9/23/1998

Series 26

Date: 5/25/2001

FINRA

Current Firm

TOUCHSTONE ADVISORS INC

Contact information

SEC notice filing (1 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

TOUCHSTONE ADVISORS INC

TRUST BUT VERIFY

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