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BS

Bradley D. Swinsburg

SMITH & HOWARD WEALTH MANAGEMENT
ATLANTA, GA 30363
Some features on this profile are disabled
CRD#: 3100975
BS

Professional summary

Bradley Dale Swinsburg is a registered financial advisor currently at SMITH & HOWARD WEALTH MANAGEMENT, LLC located in Atlanta, Georgia.

Bradley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Bradley has worked at 5 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bradley Dale Swinsburg'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

August 17, 2016 - Present

SMITH & HOWARD WEALTH MANAGEMENT, LLC

Office #1: 271 17th Street Nw Suite 2100, Atlanta, GA 30363
RIA
CRD#: 109540
ATLANTA, GA
Past

March 25, 2011 - August 1, 2016

HIRTLE, CALLAGHAN & CO., LLC

RIA
CRD#: 105403
ATLANTA, GA
Past

January 27, 2009 - February 16, 2011

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
ATLANTA, GA
Past

January 22, 2009 - February 16, 2011

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
ATLANTA, GA
Past

July 25, 2008 - January 30, 2009

GFG SECURITIES, LLC

BD
CRD#: 132602
MIAMI, FL
Past

September 17, 1998 - June 19, 2008

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
WEST PALM BEACH, FL

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".
S&
SMITH & HOWARD WEALTH MANAGEMENT, LLC
SMITH & HOWARD FINANCIAL GROUP LLC | SMITH & HOWARD WEALTH MANAGEMENT, LLC

CRD#: 109540 / SEC#: 801-56734

RIA
Registered Investment Advisory firm - (8/2/1999 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.

Highlighted states indicate IAR registrations

IAR
Georgia
(8/17/2016)
IAR
Texas
(1/5/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/15/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/28/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 8/20/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/16/1998
General Securities Representative Examination

Current Firm

S&
SMITH & HOWARD WEALTH MANAGEMENT, LLC
SMITH & HOWARD FINANCIAL GROUP LLC | SMITH & HOWARD WEALTH MANAGEMENT, LLC

CRD#: 109540 / SEC#: 801-56734

RIA
Registered Investment Advisory firm - (8/2/1999 Approved)
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Contact information

Main Address
271 17th Street Nw Suite 2100, Atlanta, GA 30363
Mailing Address
Phone number
(404) 874-6244
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SMITH & HOWARD BROCHURE (12/18/2024)

Regulatory assets under management

Total Number of Accounts685
AUM (Assets Under Management)$ 646,535,276

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.

Company Information

SMITH & HOWARD WEALTH MANAGEMENT, LLC

CRD#: 109540Atlanta, GA 30363

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