Brian E. Swinehart

SYM FINANCIAL ADVISORS

Winona Lake, IN 46590

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CRD#: 4541366

Professional summary

Brian Ernest Swinehart, CFP® is a registered financial advisor currently at SYM FINANCIAL ADVISORS located in Winona Lake, Indiana.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Brian has worked at 2 firms and has passed the Series 65, Series 66 and Series 7 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.

Business: Warsaw Aquatic Club - Investment-related: Yes - Business Address: 1 Tiger Lane, Warsaw, IN 46580 - Nature of Business: Civic - Position: President, Board of Directors - Start Date: 09/22/2020 -Hours/Month: 8 hours/month - Hours/Month During Securities Trading Hours: 1 hours/month - Duties: Attend board meetings; liaison between active members/officers, and coaching staff. Advise on the investment account.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Ernest Swinehart'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

Start date: 2020

Experience

Current

December 4, 2018 - Present

SYM FINANCIAL ADVISORS

Office #1: 801 Park Ave, Winona Lake, IN 46590

RIA

CRD#: 107517

Winona Lake, IN

Past

July 19, 2002 - October 4, 2002

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

DALLAS, TX

Past

June 24, 2002 - October 4, 2002

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

SYM FINANCIAL ADVISORS

SYM FINANCIAL ADVISORS | SYM FINANCIAL CORPORATION | SYM FINANCIAL CORP. DBA SYM FINANCIAL ADVISORS | SYM FINANCIAL CORP.

CRD#: 107517 / SEC#: 801-23944

RIA

Registered Investment Advisory firm - (5/15/1985 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

Indiana
(12/4/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/4/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 7/17/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 6/21/2002

General Securities Representative Examination

Current Firm

SYM FINANCIAL ADVISORS

SYM FINANCIAL ADVISORS | SYM FINANCIAL CORPORATION | SYM FINANCIAL CORP. DBA SYM FINANCIAL ADVISORS | SYM FINANCIAL CORP.

CRD#: 107517 / SEC#: 801-23944

RIA

Registered Investment Advisory firm - (5/15/1985 Approved)

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Contact information

Main Address

801 Park Ave, Winona Lake, IN 46590

Mailing Address

Phone number

(800) 888-7968

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SYM ADV PART 2A (7/31/2025)

Regulatory assets under management

Total Number of Accounts	5,993
AUM (Assets Under Management)	$ 4,879,622,399

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/20/2024	Cover Page	Report
06/29/2023	Cover Page	Report
12/19/2022	Cover Page	Report

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.

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Brian E. Swinehart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Ernest Swinehart's CRS (Customer Relationship Summary).

Certified licenses

Experience

SYM FINANCIAL ADVISORS

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

SYM FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/4/2018

Series 66

Date: 7/17/2002

Series 7

Date: 6/21/2002

Current Firm

SYM FINANCIAL ADVISORS

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SYM FINANCIAL ADVISORS

TRUST BUT VERIFY

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