Sean P. Swanson

SMART WEALTH

Omaha, NE 68154

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CRD#: 5041694

Professional summary

Sean Patrick Swanson, who also goes by Sean P Swanson, is a registered financial advisor currently at SMART WEALTH, LLC located in Omaha, Nebraska.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Sean has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sean P Swanson

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.

Sean Swanson Music; SINGER/SONGWRITER - start 1/1990; 3517 S 163rd Street, Omaha, NE 68130 - Songwriter, Write songs performed in churches worldwide; Not Investment Related; Music business; 5 hrs./month 0 hrs./month during trading hours. I am also pastoring a new church in Omaha, NE called Generations Church. It is an official 501c3 church and I receive no compensation for my duties as I am a volunteer. This activity will take up to 15 hours weekly of my time, none of which are during trading hours. We make no political donations as a church.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Patrick Swanson'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®

None

Experience

Current

January 19, 2022 - Present

SMART WEALTH, LLC

Office #1: 13815 Fnb Parkway, Suite 400, Omaha, NE 68154

RIA

CRD#: 315496

Omaha, NE

Past

December 17, 2021 - January 11, 2022

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

ELKHORN, NE

Past

November 17, 2021 - January 11, 2022

NYLIFE SECURITIES LLC

CRD#: 5167

ELKHORN, NE

Past

February 14, 2020 - October 20, 2021

TLG ADVISORS, INC.

RIA

CRD#: 111052

Omaha, NE

Past

February 13, 2020 - October 20, 2021

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

September 3, 2015 - February 10, 2020

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

OMAHA, NE

Past

September 3, 2015 - February 10, 2020

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

JERSEY CITY, NJ

Past

August 13, 2013 - May 19, 2015

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

OMAHA, NE

Past

August 9, 2013 - May 19, 2015

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

OMAHA, NE

Past

December 19, 2012 - May 16, 2013

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

OMAHA, NE

Past

November 3, 2005 - May 16, 2013

NYLIFE SECURITIES LLC

CRD#: 5167

OMAHA, NE

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".

SMART WEALTH, LLC

RETIRE SMART | SMART WEALTH, LLC

CRD#: 315496 / SEC#: 801-122372

RIA

Registered Investment Advisory firm - (9/23/2021 Approved)

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
(2/16/2023)

IAR

Colorado
(7/18/2023)

IAR

Florida
(3/14/2023)

IAR

Indiana
(11/12/2024)

IAR

Iowa
(2/17/2023)

IAR

Kentucky
(8/6/2024)

IAR

Maryland
(8/1/2024)

IAR

Nebraska
(1/19/2022)

IAR

Nevada
(8/1/2024)

IAR

Ohio
(8/1/2024)

IAR

South Carolina
(11/8/2023)

IAR

Texas
(2/16/2023)

IAR

Virginia
(8/2/2024)

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: 12/11/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/28/2005

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: 12/30/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/2/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SMART WEALTH, LLC

RETIRE SMART | SMART WEALTH, LLC

CRD#: 315496 / SEC#: 801-122372

RIA

Registered Investment Advisory firm - (9/23/2021 Approved)

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Contact information

Main Address

13815 Fnb Parkway, Suite 400, Omaha, NE 68154

Mailing Address

Phone number

(402) 369-7777

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SMART WEALTH 2A (9/10/2025)

Regulatory assets under management

Total Number of Accounts	3,291
AUM (Assets Under Management)	$ 448,397,840

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

Sean P. Swanson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Patrick Swanson's CRS (Customer Relationship Summary).

Certified licenses

Experience

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

TLG ADVISORS, INC.

THE LEADERS GROUP, INC.

EAGLE STRATEGIES LLC

NYLIFE DISTRIBUTORS LLC

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

SMART WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/11/2012

Series 63

Date: 10/28/2005

SIE

Date: 10/1/2018

Series 7

Date: 12/30/2009

Series 6

Date: 11/2/2005

Current Firm

SMART WEALTH, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SMART WEALTH, LLC

TRUST BUT VERIFY

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