William M. Swayne

WMS WEALTH MANAGEMENT LLC

Mukilteo, WA 98275

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CRD#: 4616158

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

William Madison Swayne Iii | Bill Madison Swayne Iii | William Madison Swayne

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) WMS Wealth Management. (2) Yes-investment related. (3) 12189 Greenhaven # 108, Mukilteo, WA 98275. (4) RIA. (5) Investment advisor. (6) Investment advisor. (7) January 2020. (8) 80 hours monthly. (9) 6 hours. (10) Service and consulting, handle client accounts, service & Implementation, time spent (1) WMS Consultants. (2) Yes-investment related. (3) 12189 Greenhaven # 108, Mukilteo, WA 98275. (4) Insurance consultant. (5) Insurance broker. (6) No title. (7) 2002. (8) 1-5 hours per month. (9) 1-5 hrs per mo. (10) Review, analysis, and preparing clients with policies that match their needs.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William M Swayne'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®

None

Experience

Current

September 2, 2022 - Present

WMS WEALTH MANAGEMENT LLC

Office #1: 12189 Greenhaven Suite 108, Mukilteo, WA 98275

RIA

CRD#: 311372

Mukilteo, WA

Past

March 19, 2021 - February 10, 2024

INTEGRITY BROKERAGE, LLC

CRD#: 117589

SEATTLE, WA

Past

June 17, 2019 - February 5, 2021

CABOT LODGE SECURITIES LLC

CRD#: 159712

Mukilteo, WA

Past

September 21, 2018 - May 22, 2019

SANDLAPPER SECURITIES, LLC

CRD#: 137906

Seattle, WA

Past

September 7, 2018 - December 31, 2020

COLONY PARK FINANCIAL SERVICES LLC.

RIA

CRD#: 41534

Seattle, WA

Past

October 30, 2017 - September 13, 2018

EMERSON EQUITY LLC

RIA

CRD#: 130032

Seattle, WA

Past

October 30, 2017 - September 13, 2018

EMERSON EQUITY LLC

CRD#: 130032

SAN MATEO, CA

Past

May 17, 2017 - October 18, 2017

COLONY PARK FINANCIAL SERVICES LLC.

RIA

CRD#: 41534

Seattle, WA

Past

April 28, 2017 - October 18, 2017

SANDLAPPER SECURITIES, LLC

CRD#: 137906

GREENVILLE, SC

Past

February 17, 2012 - April 21, 2017

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

SEATTLE, WA

Past

February 9, 2012 - April 21, 2017

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

SEATTLE, WA

Past

January 31, 2003 - February 10, 2012

PACIFIC WEST FINANCIAL CONSULTANTS INC

RIA

CRD#: 108728

SEATTLE, WA

Past

December 19, 2002 - February 10, 2012

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

SEATTLE, WA

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

Washington
(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

State Security Law Exam

IAR

Series 66

Date: 1/30/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/12/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/18/2002

General Securities Representative Examination

Current Firm

WMS WEALTH MANAGEMENT LLC

CRD#: 311372 / SEC#:

Idaho

Registered Investment Advisory firm - (4/8/2025 Approved)

Washington

Registered Investment Advisory firm - (12/11/2020 Approved)

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Contact information

Main Address

12189 Greenhaven Suite 108, Mukilteo, WA 98275

Mailing Address

Phone number

(206) 726-1633

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	136
AUM (Assets Under Management)	$ 39,019,248

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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Advisor Monitoring

Firm Stability Insights

William M. Swayne

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William M Swayne's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTEGRITY BROKERAGE, LLC

CABOT LODGE SECURITIES LLC

SANDLAPPER SECURITIES, LLC

COLONY PARK FINANCIAL SERVICES LLC.

EMERSON EQUITY LLC

EMERSON EQUITY LLC

COLONY PARK FINANCIAL SERVICES LLC.

SANDLAPPER SECURITIES, LLC

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

PACIFIC WEST FINANCIAL CONSULTANTS INC

PACIFIC WEST SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/30/2003

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 11/12/2009

Series 7

Date: 12/18/2002

Current Firm

WMS WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WMS WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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