William M Swayne
Professional Summary
William M Swayne, who also goes by William Madison Swayne III, Bill Madison Swayne III, William Madison Swayne, is a registered financial advisor currently at WMS WEALTH MANAGEMENT LLC located in Mukilteo, Washington. William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. William has worked at 9 firms and has passed the Series 66, Series 79TO, SIE, Series 31 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
William Madison Swayne Iii, Bill Madison Swayne Iii, William Madison Swayne
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Contact Information
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Disclosures on record.
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Years of Experience
23 years in the financial services industry
Current & Past Employments
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Current Firm
WMS WEALTH MANAGEMENT LLC
Contact Information
Main Address
12189 Greenhaven Suite 108, Mukilteo, WA 98275-6062Phone Number
(206) 726-1633# of Employees
2Documents
Regulatory Assets Under Management
Total Number of Accounts
136AUM (Assets Under Management)
$46,847,340Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(9/2/2022)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view William M Swayne's CRS (Customer Relationship Summary).
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