Michael A. Henn

SWISHER FINANCIAL CONCEPTS

WESTERVILLE, OH 43082

Some features on this profile are disabled

CRD#: 4582922

Professional summary

Michael A Henn, CFP® is a registered financial advisor currently at SWISHER FINANCIAL CONCEPTS, INC. located in Westerville, Ohio.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Michael has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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) MICHAEL HENN; NOT INVESTMENT RELATED; 612B OFFICE PARKWAY WESTERVILLE OH 43082; SELLING LIFE HEALTH DISABILITY AND LTC; AGENT; 09/01/2002-CURRENT; 20 HOURS/MONTH; 20 DURING SECURITIES TRADING HOURS; SELLING LIFE HEALTH DISABILITY AND LTC PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael A Henn'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: 2007

Experience

Current

January 8, 2008 - Present

SWISHER FINANCIAL CONCEPTS, INC.

Office #1: 612 Office Parkway Suite B, Westerville, OH 43082

RIA

CRD#: 121384

WESTERVILLE, OH

Past

January 4, 2008 - February 1, 2019

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

WESTERVILLE, OH

Past

June 4, 2007 - December 31, 2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

COLUMBUS, OH

Past

September 24, 2002 - December 31, 2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

COLUMBUS, OH

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".

SWISHER FINANCIAL CONCEPTS, INC.

SWISHER FINANCIAL CONCEPTS | SWISHER FINANCIAL CONCEPTS, INC.

CRD#: 121384 / SEC#: 801-115211

RIA

Registered Investment Advisory firm - (5/7/2019 Approved)

Florida

Registered Investment Advisory firm - (5/28/2019 Terminated)

Ohio

Registered Investment Advisory firm - (5/29/2019 Terminated)

Pennsylvania

Registered Investment Advisory firm - (5/28/2019 Terminated)

Texas

Registered Investment Advisory firm - (5/28/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(1/8/2008)

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: 8/24/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/19/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/6/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/23/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SWISHER FINANCIAL CONCEPTS, INC.

SWISHER FINANCIAL CONCEPTS | SWISHER FINANCIAL CONCEPTS, INC.

CRD#: 121384 / SEC#: 801-115211

RIA

Registered Investment Advisory firm - (5/7/2019 Approved)

Florida

Registered Investment Advisory firm - (5/28/2019 Terminated)

Ohio

Registered Investment Advisory firm - (5/29/2019 Terminated)

Pennsylvania

Registered Investment Advisory firm - (5/28/2019 Terminated)

Texas

Registered Investment Advisory firm - (5/28/2019 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

612 Office Parkway Suite B, Westerville, OH 43082

Mailing Address

Phone number

(614) 890-1930

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SWISHER FINANCIAL CONCEPTS, INC. AMENDED FORM ADV, PART 2A (2/25/2025)

Regulatory assets under management

Total Number of Accounts	1,350
AUM (Assets Under Management)	$ 257,546,665

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.

Similar Advisors

Andrew Lehman

INSPIRE ADVISORS, LLC

IAR

Columbus, OH

James Bowman

JANNEY MONTGOMERY SCOTT LLC

IAR

Columbus (grandview), OH

Cody Anderson

J.P. MORGAN SECURITIES LLC

IAR

UPPER ARLINGTON, OH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael A. Henn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael A Henn's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE O.N. EQUITY SALES COMPANY

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

SWISHER FINANCIAL CONCEPTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/24/2006

Series 63

Date: 11/19/2002

SIE

Date: 10/1/2018

Series 7

Date: 7/6/2006

Series 6

Date: 9/23/2002

Current Firm

SWISHER FINANCIAL CONCEPTS, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SWISHER FINANCIAL CONCEPTS, INC.

TRUST BUT VERIFY

Similar Advisors