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JS

Jerry S. Swiney

PARK SQUARE FINANCIAL GROUP
HOOVER, AL
Some features on this profile are disabled
CRD#: 4312698
JS

Professional summary

Jerry Scott Swiney, CFP®, who also goes by Jerry S Swiney, is a registered financial advisor currently at PARK SQUARE FINANCIAL GROUP LLC located in Hoover, Alabama.

Jerry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Jerry has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jerry S Swiney

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 Jerry Scott Swiney'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®
CFP®

Certified Financial Planner

Experience

Current

September 16, 2024 - Present

PARK SQUARE FINANCIAL GROUP LLC

RIA
CRD#: 332268
HOOVER, AL
Past

September 6, 2019 - September 18, 2024

CSENGE ADVISORY GROUP, LLC

RIA
CRD#: 131167
Hoover, AL
Past

August 30, 2019 - September 19, 2024

LION STREET FINANCIAL, LLC

BD
CRD#: 165828
Hoover, AL
Past

May 24, 2016 - September 6, 2019

FSC SECURITIES CORPORATION

RIA
CRD#: 7461
BIRMINGHAM, AL
Past

May 24, 2016 - September 6, 2019

FSC SECURITIES CORPORATION

BD
CRD#: 7461
BIRMINGHAM, AL
Past

May 13, 2016 - May 26, 2016

SIGNATOR INVESTORS, INC.

RIA
CRD#: 468
HOOVER, AL
Past

May 13, 2016 - May 26, 2016

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
HOOVER, AL
Past

September 28, 2010 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
HOOVER, AL
Past

September 28, 2010 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
HOOVER, AL
Past

April 27, 2001 - October 6, 2010

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
BIRMINGHAM, AL
Past

December 12, 2000 - October 6, 2010

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
BIRMINGHAM, AL

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".
PS
PARK SQUARE FINANCIAL GROUP LLC
PARK SQUARE | PARK SQUARE FINANCIAL GROUP, LLC | PARK SQUARE FINANCIAL GROUP LLC

CRD#: 332268 / SEC#: 801-131121

RIA
Registered Investment Advisory firm - (9/13/2024 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
Alabama
(9/16/2024)
IAR
Georgia
(11/13/2024)
IAR
Texas
(9/16/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/25/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/11/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/30/2002
General Securities Principal Examination

Current Firm

PS
PARK SQUARE FINANCIAL GROUP LLC
PARK SQUARE | PARK SQUARE FINANCIAL GROUP, LLC | PARK SQUARE FINANCIAL GROUP LLC

CRD#: 332268 / SEC#: 801-131121

RIA
Registered Investment Advisory firm - (9/13/2024 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
55 Park Square Ste 103, Roswell, GA 30075
Mailing Address
Phone number
(770) 641-1401
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (11 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

PART 2A BROCHURE (2/19/2025)
WRAP BROCHURE (2/19/2025)

Regulatory assets under management

Total Number of Accounts736
AUM (Assets Under Management)$ 208,169,989

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

PARK SQUARE FINANCIAL GROUP LLC

CRD#: 332268Hoover, AL

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