David W. Swapp

NET WORTH ADVISORY GROUP

Sandy, UT 84070

Some features on this profile are disabled

CRD#: 4888140

Professional summary

David William Swapp, CFP® is a registered financial advisor currently at NET WORTH ADVISORY GROUP, LLC located in Sandy, Utah.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. David has worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

What are your service offerings?

Life Transitions

Tax Planning

Investment Planning

Retirement Planning

Comprehensive Financial Planni...

Insurance Planning

Estate Planning

Do you have an area of expertise or specialization?

Estate & Generational Planning...

Investment Advice with Ongoing...

Retirement Plan Investment Adv...

Retirement Planning & Distribu...

Tax Planning

What is your minimum asset requirement?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David William Swapp'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: 2008

Experience

Current

July 27, 2005 - Present

NET WORTH ADVISORY GROUP, LLC

Office #1: 75 West Towne Ridge Parkway, Suite 460, Sandy, UT 84070

RIA

CRD#: 126983

Sandy, UT

Past

February 4, 2005 - July 25, 2005

LPL FINANCIAL LLC

RIA

CRD#: 6413

SANDY, UT

Past

January 21, 2005 - July 25, 2005

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

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".

NET WORTH ADVISORY GROUP, LLC

NET WORTH ADVISORY GROUP, LLC | NETWORTH ADVISORY GROUP, LLC

CRD#: 126983 / SEC#: 801-65548

RIA

Registered Investment Advisory firm - (3/6/2006 Approved)

Utah

Registered Investment Advisory firm - (1/28/2014 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

Utah
(7/27/2005)

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: 2/3/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 1/20/2005

General Securities Representative Examination

Current Firm

NET WORTH ADVISORY GROUP, LLC

NET WORTH ADVISORY GROUP, LLC | NETWORTH ADVISORY GROUP, LLC

CRD#: 126983 / SEC#: 801-65548

RIA

Registered Investment Advisory firm - (3/6/2006 Approved)

Utah

Registered Investment Advisory firm - (1/28/2014 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

75 W. Towne Ridge Parkway Suite 460, Sandy, UT 84070

Mailing Address

Phone number

(801) 566-6639

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NET WORTH ADVISORY GROUP PART II (3/13/2025)

Regulatory assets under management

Total Number of Accounts	2,970
AUM (Assets Under Management)	$ 718,363,737

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.

Contact information

(xxx) xxx-xxxx

Similar Advisors

Reuben Rowley

EAGLE STRATEGIES LLC

IAR

AMERICAN FORK, UT

Justin Lizama

SIMPLE FINANCIAL, LLC

IAR

West Jordan, UT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David W. Swapp

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David William Swapp's CRS (Customer Relationship Summary).

Certified licenses

Experience

NET WORTH ADVISORY GROUP, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

NET WORTH ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/3/2005

Series 7

Date: 1/20/2005

Current Firm

NET WORTH ADVISORY GROUP, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NET WORTH ADVISORY GROUP, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors