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MS

Michael J. Swallow

CBIZ FINANCIAL SOLUTIONS
Cleveland, OH 44131
Some features on this profile are disabled
CRD#: 4065168
MS

Professional summary

Michael John Swallow is a registered financial advisor currently at CBIZ FINANCIAL SOLUTIONS, INC. located in Cleveland, Ohio and CBIZ INVESTMENT ADVISORY SERVICES, LLC located in Cleveland, Ohio.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Michael has worked at 5 firms and has passed the Series 63, SIE and Series 6 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.
Mike Swallow is the owner of a vacation rental properties through Patriot Family WY, LLC . He is compensated based on the rental of the houses. This is not an investment related activity and is an estimated 6 hours a month, 0 of which occur during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Swallow'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 29, 2000 - Present

CBIZ FINANCIAL SOLUTIONS, INC.

Office #1: 5959 Rockside Woods Blvd N Suite 600, Cleveland, OH 44131
RIA
BD
CRD#: 16678
Cleveland, OH
Current

August 14, 2017 - Present

CBIZ INVESTMENT ADVISORY SERVICES, LLC

Office #1: 5959 Rockside Woods Blvd N Suite 600, Cleveland, OH 44131
RIA
CRD#: 286002
Cleveland, OH
Past

May 25, 2010 - April 1, 2011

CBIZ WEALTH MANAGEMENT, LLC

RIA
CRD#: 153785
CLEVELAND, OH
Past

November 29, 2005 - December 31, 2021

CBIZ FINANCIAL SOLUTIONS, INC.

BD
CRD#: 16678
INDEPENDENCE, OH
Past

May 1, 2000 - February 4, 2005

GALLERY ASSET MANAGEMENT

RIA
CRD#: 109351
CLEVELAND, OH
Past

November 22, 1999 - November 18, 2005

NEWEDGE SECURITIES, LLC

BD
CRD#: 10674
PITTSBURGH, PA

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".
CI
CBIZ INVESTMENT ADVISORY SERVICES, LLC
CBIZ INVESTMENT ADVISORY SERVICES, LLC | THE INR TEAM OF CBIZ IAS | CBIZ RETIREMENT PLAN SERVICES

CRD#: 286002 / SEC#: 801-108996

RIA
Registered Investment Advisory firm - (2/8/2017 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
Ohio
(8/29/2000)

Exams

State Security Law Exam
RR
Series 63
Date: 5/2/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/20/1999
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CI
CBIZ INVESTMENT ADVISORY SERVICES, LLC
CBIZ INVESTMENT ADVISORY SERVICES, LLC | THE INR TEAM OF CBIZ IAS | CBIZ RETIREMENT PLAN SERVICES

CRD#: 286002 / SEC#: 801-108996

RIA
Registered Investment Advisory firm - (2/8/2017 Approved)
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Contact information

Main Address
5959 Rockside Woods Blvd N Suite 600, Cleveland, OH 44131
Mailing Address
Phone number
(216) 447-9000
Established
Firm type
Fiscal year end
# of Employees
86

SEC notice filing (51 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

CBIZ IAS BROCHURE NO WRAP (3/27/2025)
THE CBIZ INR WRAP BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts2,658
AUM (Assets Under Management)$ 10,491,932,749

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

CBIZ INVESTMENT ADVISORY SERVICES, LLC

CRD#: 286002Cleveland, OH 44131

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