NB
Nancy S. Bullock-swanson
INDEPENDENT WEALTH NETWORK
Phoenix, AZ 85014
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CRD#: 4868611
NB
Professional summary
Nancy Selena Bullock-swanson, who also goes by Nancy Selena Bullock, is a registered financial advisor currently at INDEPENDENT WEALTH NETWORK, INC. located in Phoenix, Arizona.
Nancy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Nancy has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nancy Selena Bullock
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. PREFERRED WEALTH MANAGEMENT, PHOENIX AZ; PRESIDENT; DAY TO DAY OPERATIONS 40 HOURS/WEEK ALL DURING TRADING HOURS. 2. PREFERRED GROUP, PHOENIX, AZ; INSURANCE - LIFE & HEALTH SALES; CORP; BCBS OF AZ, AETNA, UNITED ONE, GOLDEN RULE, UNITED HEALTH CARE, HUMANA, ALLIANZ, AVIVA & PACIFIC LIFE; 10 HOURS PER MONTH, ALL DURING TRADING HOURS. 3. PREFERRED FINANCIAL GROUP, PHOENIX, AZ; BROKERAGE SERVICES THROUGH BROKERS INTERNATIONAL FINANCIAL; SELLING SECURITIES 10 HOURS A MONTH; ALL DURING TRADING HOURS. 4. SWANSON GROUP, LLC. OWNER - FIXED INSURANCE SALES - AETNA, BCBS, ALLIANZ, ATHENE, PACIFIC LIFE; 10 HOURS PER MONTH, ALL DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Nancy Selena Bullock-swanson'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®
NoneExperience
Current
September 11, 2017 - Present
INDEPENDENT WEALTH NETWORK, INC.
Office #1: 1202 E Maryland Ave Suite 1j, Phoenix, AZ 85014RIA
CRD#: 286262
Phoenix, AZ
Past
August 24, 2017 - August 16, 2019
INTEGRITY ALLIANCE, LLC.
BD
CRD#: 139627
URBANDALE, IA
Past
November 17, 2016 - August 28, 2017
INVESTMENT ADVISORS CORP
RIA
CRD#: 117531
PHOENIX, AZ
Past
October 1, 2014 - August 28, 2017
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
SIOUX CITY, IA
Past
November 22, 2004 - January 2, 2014
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SIOUX CITY, IA
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".
IW
INDEPENDENT WEALTH NETWORK, INC.
ANTHEM FINANCIAL PARTNERS | SUNBURST FINANCIAL MANAGEMENT | PREFERRED WEALTH MANAGEMENT LLC | POINDEXTER FINANCIAL GROUP | M.A.S.FINANCIAL AND TAX GROUP | LUCASIAN WEALTH MANAGEMENT | KRAMER WEALTH ADVISORY | KFA FINANCIAL | INDEPENDENT WEALTH NETWORK, INC. | INDEPENDENT WEALTH NETWORK GROUP | HOLT ADVISORY GROUP | GILCHRIST WEALTH MANAGEMENT | ETZEL FINANCIAL RESOURCES | DV FINANCIAL | CAPITAL INSURANCE & FINANCIAL SERVICES LLC | BEACON FINANCIAL SERVICES | ARCHER FINANCIAL PARTNERS
CRD#: 286262 / SEC#: 801-110559
RIA
Registered Investment Advisory firm - (6/1/2017 Approved)Ohio
Registered Investment Advisory firm - (8/26/2019 Terminated)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
Arizona(9/15/2017)
IAR
California(2/19/2018)
IAR
Florida(2/24/2020)
IAR
Iowa(9/11/2017)
IAR
Minnesota(2/24/2021)
IAR
Nebraska(2/20/2018)
IAR
North Carolina(2/19/2018)
IAR
Texas(4/26/2023)
IAR
Wisconsin(10/30/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
IW
INDEPENDENT WEALTH NETWORK, INC.
ANTHEM FINANCIAL PARTNERS | SUNBURST FINANCIAL MANAGEMENT | PREFERRED WEALTH MANAGEMENT LLC | POINDEXTER FINANCIAL GROUP | M.A.S.FINANCIAL AND TAX GROUP | LUCASIAN WEALTH MANAGEMENT | KRAMER WEALTH ADVISORY | KFA FINANCIAL | INDEPENDENT WEALTH NETWORK, INC. | INDEPENDENT WEALTH NETWORK GROUP | HOLT ADVISORY GROUP | GILCHRIST WEALTH MANAGEMENT | ETZEL FINANCIAL RESOURCES | DV FINANCIAL | CAPITAL INSURANCE & FINANCIAL SERVICES LLC | BEACON FINANCIAL SERVICES | ARCHER FINANCIAL PARTNERS
CRD#: 286262 / SEC#: 801-110559
RIA
Registered Investment Advisory firm - (6/1/2017 Approved)Ohio
Registered Investment Advisory firm - (8/26/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2350 Nw 128th St, Urbandale, IA 50323
Mailing Address
Phone number
(515) 461-5123
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (40 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,626 |
| AUM (Assets Under Management) | $ 422,577,169 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
