DS
David C. Swan
LARSON FINANCIAL GROUP
Omaha, NE 68114
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CRD#: 5129591
DS
Professional summary
David C Swan, who also goes by Dave Swan, David Charles Swan, David Swan, is a registered financial advisor currently at LARSON FINANCIAL GROUP, LLC located in Omaha, Nebraska and LARSON FINANCIAL SECURITIES, LLC located in Omaha, Nebraska.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. David has worked at 6 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Swan | David Charles Swan | David Swan
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.
Physician Advisors, LLC, Investment related, 11235 Davenport Street, Suite 113 Omaha, NE 68154, Insurance Agent, Owner; 04/2016; 80 hours per month 40 during security trading hours. Insurance services. THRIVE RELO POSITION: Referrer NATURE: Connect physicians with Real Estate agents. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 09/01/2022 ADDRESS: 2606 Main Street, Elkhorn NE 68022, United States DESCRIPTION: Refer physicians to real estate agents.
CRS (Client Relationship Summary) - RIA
Click below to view David C Swan'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
November 23, 2022 - Present
LARSON FINANCIAL GROUP, LLC
Office #1: 9802 Nicholas Street Ste 102, Omaha, NE 68114RIA
CRD#: 140599
Omaha, NE
Current
March 25, 2024 - Present
LARSON FINANCIAL SECURITIES, LLC
Office #1: 9802 Nicholas Street Suite 105, Omaha, NE 68114BD
CRD#: 152517
Omaha, NE
Past
April 25, 2016 - February 1, 2024
PHYSICIANS THRIVE INVESTMENT ADVISORS, LLC
RIA
CRD#: 173801
ELKHORN, NE
Past
September 8, 2014 - March 21, 2016
MARINER WEALTH ADVISORS
RIA
CRD#: 109904
OMAHA, NE
Past
September 8, 2014 - March 21, 2016
MSEC, LLC
BD
CRD#: 154327
OMAHA, NE
Past
December 12, 2006 - August 21, 2014
WADDELL & REED
RIA
CRD#: 866
OMAHA, NE
Past
November 2, 2006 - August 21, 2014
WADDELL & REED
BD
CRD#: 866
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".
LF
LARSON FINANCIAL GROUP, LLC
LARSON FINANCIAL GROUP, LLC | WORK OPTIONAL | THE PHYSICIANS THRIVE | OAKMONT FINANCIAL GROUP | MIDWEST WEALTH MANAGEMENT | LIONSGATE ADVISORS
CRD#: 140599 / SEC#: 801-71543
RIA
Registered Investment Advisory firm - (6/23/2010 Approved)Florida
Registered Investment Advisory firm - (6/30/2010 Terminated)Indiana
Registered Investment Advisory firm - (6/30/2010 Terminated)Kansas
Registered Investment Advisory firm - (6/30/2010 Terminated)Kentucky
Registered Investment Advisory firm - (6/30/2010 Terminated)Minnesota
Registered Investment Advisory firm - (7/1/2010 Terminated)Missouri
Registered Investment Advisory firm - (6/30/2010 Terminated)Ohio
Registered Investment Advisory firm - (6/30/2010 Terminated)Tennessee
Registered Investment Advisory firm - (7/30/2010 Terminated)Texas
Registered Investment Advisory firm - (6/30/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (6/30/2010 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(6/9/2025)
RR
Illinois(8/29/2025)
RR
Indiana(7/11/2025)
RR
Iowa(6/25/2025)
RR
Michigan(7/18/2025)
IAR
Nebraska(11/23/2022)
RR
Nebraska(4/21/2025)
RR
South Carolina(6/9/2025)
IAR
Texas(2/11/2025)
RR
Washington(8/4/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/23/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LF
LARSON FINANCIAL GROUP, LLC
LARSON FINANCIAL GROUP, LLC | WORK OPTIONAL | THE PHYSICIANS THRIVE | OAKMONT FINANCIAL GROUP | MIDWEST WEALTH MANAGEMENT | LIONSGATE ADVISORS
CRD#: 140599 / SEC#: 801-71543
RIA
Registered Investment Advisory firm - (6/23/2010 Approved)Florida
Registered Investment Advisory firm - (6/30/2010 Terminated)Indiana
Registered Investment Advisory firm - (6/30/2010 Terminated)Kansas
Registered Investment Advisory firm - (6/30/2010 Terminated)Kentucky
Registered Investment Advisory firm - (6/30/2010 Terminated)Minnesota
Registered Investment Advisory firm - (7/1/2010 Terminated)Missouri
Registered Investment Advisory firm - (6/30/2010 Terminated)Ohio
Registered Investment Advisory firm - (6/30/2010 Terminated)Tennessee
Registered Investment Advisory firm - (7/30/2010 Terminated)Texas
Registered Investment Advisory firm - (6/30/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (6/30/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
100 N Broadway Suite 1700, Saint Louis, MO 63102
Mailing Address
Phone number
(866) 569-2450
Established
Firm type
Fiscal year end
# of Employees
115
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 24,504 |
| AUM (Assets Under Management) | $ 4,032,736,835 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/08/2024 | ||
| 12/13/2023 | ||
| 01/03/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
LARSON FINANCIAL GROUP, LLC
CRD#: 140599Omaha, NE 68114TRUST BUT VERIFY
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