JS
John J. Swiess
SPC
Burr Ridge, IL 60527
Some features on this profile are disabled
CRD#: 3228698
JS
Professional summary
John Joseph Swiess is a registered financial advisor currently at SPC located in Burr Ridge, Illinois.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. John has worked at 6 firms and has passed the Series 65, Series 63, Series 6 and Series 26 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.
1. JOHN J. SWIESS, ATTORNEY AT LAW; NOT INVESTMENT RELATED; ADDRESS: 1333 BURR RIDGE PARKWAY, BURR RIDGE, IL 60527; NATURE: TRANSACTIONAL LAW PRACTICE; POSITION: OWNER/SOLE PROPRIETOR; STARTED: OCTOBER 1980 2. INTERNATIONAL BANK OF CHICAGO - General Outside Counsel. In this capacity, I may be called upon to execute corporate documents when a second signature or attestation is requested. Start date: 4/18/09, number of hours vary.
CRS (Client Relationship Summary) - RIA
Click below to view John Joseph Swiess'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®
NoneExperience
Current
March 9, 2020 - Present
SPC
Office #1: 7420 S. County Line Road Suite 2, Burr Ridge, IL 60527RIA
CRD#: 110692
Burr Ridge, IL
Past
January 2, 2014 - March 29, 2018
GLOBAL VIEW CAPITAL MANAGEMENT LLC
RIA
CRD#: 158292
BURR RIDGE, IL
Past
March 9, 2011 - December 31, 2013
THE STRATEGIC FINANCIAL ALLIANCE, INC.
RIA
CRD#: 126514
OAK BROOK, IL
Past
March 9, 2011 - December 31, 2013
THE STRATEGIC FINANCIAL ALLIANCE, INC.
BD
CRD#: 126514
OAK BROOK, IL
Past
March 8, 2007 - March 2, 2011
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
OAK BROOK, IL
Past
April 12, 2002 - March 2, 2011
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
July 8, 1999 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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".
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 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.Highlighted states indicate IAR registrations
IAR
Illinois(3/9/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
Phone number
(734) 663-1611
Established
Firm type
Fiscal year end
# of Employees
462
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
