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John W. Swaine
SECOND HALF FINANCIAL PARTNERS
SEBRING, FL 33870
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CRD#: 4072112
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Professional summary
John William Swaine is a registered financial advisor currently at SECOND HALF FINANCIAL PARTNERS, LLC located in Sebring, Florida.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. John has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 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. Fixed Insurance conducted through Platinum Financial Partners, LLC - Sebring, FL. Insurance Sales Agent, started 12/2016 to present. 10 hours weekly, 5 during trading hours. 2. John 14:6 LLC - Sebring, FL. Managing Member of real estate LLC, started 7/2011 to present. 0 hours weekly, 0 during trading hours. 3. Sebring Police Department - Sebring FL. Part time Police Officer, started 8/1997 to present. 1 hour per month, 0 during trading hours. 4. Platinum Financial Partners, LLC (f/k/a U.S. Tax, LLC) - Sebring, FL. Managing Member of tax preparation LLC, started 10/2015 to present. 4 hours per month, 0 during trading hours. 5. John 3:30, LLC - Sebring, FL. Managing Member of a holding company, started 6/2018 to present. 1 hours per month, 0 during trading hours. 6. Swaine & Leidel Wealth Services - Sebring, FL - Previous RIA name kept and used as a DBA name - 05/2012 - 01/2021 RIA and 03/2021 to Present DBA name - 0 hours per month devoted - 0 hours per month devoted during securities trading hours. 7. Heartland Tax and Accounting, LLC - Sebring, FL. Partner, started 01/2024 to present. 10 hours per month, 10 during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view John William Swaine'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
October 22, 2012 - Present
SECOND HALF FINANCIAL PARTNERS, LLC
Office #1: 145 West Center Avenue, Sebring, FL 33870RIA
CRD#: 163454
SEBRING, FL
Past
October 13, 2009 - April 7, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
SEBRING, FL
Past
September 16, 2009 - April 7, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
SEBRING, FL
Past
June 1, 2009 - October 8, 2009
MORGAN STANLEY
RIA
CRD#: 149777
SEBRING, FL
Past
June 1, 2009 - October 8, 2009
MORGAN STANLEY
BD
CRD#: 149777
SEBRING, FL
Past
February 11, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SEBRING, FL
Past
December 17, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SEBRING, FL
Past
January 12, 2000 - December 15, 2003
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
SH
SECOND HALF FINANCIAL PARTNERS, LLC
SECOND HALF FINANCIAL PARTNERS, LLC | SWAINE AND LEIDEL WEALTH SERVICES | SWAINE & LEIDEL WEALTH SERVICES, LLC | SWAINE & LEIDEL WEALTH SERVICES | SWAINE & LEIDEL LLC | STATLER FINANCIAL SERVICES, INC. | SECOND HALF TEAM
CRD#: 163454 / SEC#: 801-113533
RIA
Registered Investment Advisory firm - (7/5/2018 Approved)Florida
Registered Investment Advisory firm - (12/31/2018 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
Florida(10/22/2012)
IAR
Georgia(9/16/2024)
IAR
North Carolina(6/19/2024)
IAR
Texas(2/10/2021)
IAR
Virginia(6/20/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
SH
SECOND HALF FINANCIAL PARTNERS, LLC
SECOND HALF FINANCIAL PARTNERS, LLC | SWAINE AND LEIDEL WEALTH SERVICES | SWAINE & LEIDEL WEALTH SERVICES, LLC | SWAINE & LEIDEL WEALTH SERVICES | SWAINE & LEIDEL LLC | STATLER FINANCIAL SERVICES, INC. | SECOND HALF TEAM
CRD#: 163454 / SEC#: 801-113533
RIA
Registered Investment Advisory firm - (7/5/2018 Approved)Florida
Registered Investment Advisory firm - (12/31/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
145 West Center Avenue, Sebring, FL 33870
Mailing Address
Phone number
(863) 385-1101
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,119 |
| AUM (Assets Under Management) | $ 364,118,989 |
Red Flags
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Company Information
SECOND HALF FINANCIAL PARTNERS, LLC
CRD#: 163454Sebring, FL 33870TRUST BUT VERIFY
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