JS
Jody A. Swapp
ASHTON THOMAS PRIVATE WEALTH
ASPEN, CO 81611
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CRD#: 5203196
JS
Professional summary
Jody Ann Swapp is a registered financial advisor currently at ASHTON THOMAS PRIVATE WEALTH located in Aspen, Colorado and ASHTON THOMAS SECURITIES, LLC located in Aspen, Colorado.
Jody is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Jody has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
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.
HAWK MOUNTAIN DRYWALL; NOT INV RELATED; DURANGO, CO; 100% OWNERSHIP WITH SPOUSE; START 9/1/2001; 2 HOURS PER MONTH, 0 DURING TRADING; VICE PRESIDENT, BOOKKEEPING, PAYROLL. ASHTON THOMAS PRIVATE WEALTH, LLC; INVESTMENT RELATED; 122 MAIN STREET ASPEN, CO 81611; REGISTERED, PRIVATE CLIENT SERVICES AS OF 06/2024; 160 HOURS A MONTH DURING TRADING HOURS; PRIVATE CLIENT SERVICES.
CRS (Client Relationship Summary) - RIA
Click below to view Jody Ann Swapp'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
June 6, 2024 - Present
ASHTON THOMAS PRIVATE WEALTH
Office #1: 122 W Main Street, Aspen, CO 81611RIA
CRD#: 153902
ASPEN, CO
Current
June 6, 2024 - Present
ASHTON THOMAS SECURITIES, LLC
Office #1: 122 W Main Street, Aspen, CO 81611RIA
BD
CRD#: 16629
Aspen, CO
Current
June 6, 2024 - Present
ASHTON THOMAS SECURITIES, LLC
Office #1: 200 Canal View Blvd. Suite 204, Rochester, NY 14623Office #2: 122 W. Main Street, Aspen, CO 81611Office #3: 200 Canal View Blvd. Ste. 204, Rochester, NY 14623RIA
BD
CRD#: 16629
ROCHESTER, NY
Past
January 3, 2011 - June 13, 2024
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
DURANGO, CO
Past
January 3, 2011 - June 13, 2024
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
DURANGO, CO
Past
November 12, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
DURANGO, CO
Past
July 22, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
DURANGO, CO
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".
AT
ASHTON THOMAS PRIVATE WEALTH
AMPLIFY PLATFORM | SECOND 50 FINANCIAL | NORTE ADVISORS, LLC | MILL STREET FINANCIAL | JAY R. PENNEY, LLC | GENTRY WEALTH MANAGEMENT | GENTRY ASSET ADVISORY LLC | FORGE PRIVATE WEALTH | CAMPBELL PRIVATE WEALTH MANAGEMENT | ASHTON THOMAS PRIVATE WEALTH, LLC | ASHTON THOMAS PRIVATE WEALTH | ASHTON THOMAS
CRD#: 153902 / SEC#: 801-71512
RIA
Registered Investment Advisory firm - (6/15/2010 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.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
Arizona(6/6/2024)
RR
California(6/6/2024)
RR
Colorado(6/6/2024)
IAR
Colorado(6/6/2024)
RR
Connecticut(6/6/2024)
RR
District of Columbia(6/6/2024)
RR
Florida(6/6/2024)
RR
Hawaii(6/6/2024)
RR
Illinois(6/6/2024)
RR
Kentucky(6/6/2024)
RR
Louisiana(6/6/2024)
RR
Maryland(6/6/2024)
RR
Michigan(6/6/2024)
RR
Minnesota(6/6/2024)
RR
Missouri(6/6/2024)
RR
Montana(6/6/2024)
RR
Nevada(6/6/2024)
RR
New Jersey(6/6/2024)
RR
New York(6/6/2024)
RR
Oregon(6/6/2024)
RR
Pennsylvania(6/6/2024)
RR
South Carolina(6/6/2024)
RR
Texas(6/6/2024)
RR
Utah(6/6/2024)
RR
Vermont(6/6/2024)
RR
Washington(6/6/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AT
ASHTON THOMAS PRIVATE WEALTH
AMPLIFY PLATFORM | SECOND 50 FINANCIAL | NORTE ADVISORS, LLC | MILL STREET FINANCIAL | JAY R. PENNEY, LLC | GENTRY WEALTH MANAGEMENT | GENTRY ASSET ADVISORY LLC | FORGE PRIVATE WEALTH | CAMPBELL PRIVATE WEALTH MANAGEMENT | ASHTON THOMAS PRIVATE WEALTH, LLC | ASHTON THOMAS PRIVATE WEALTH | ASHTON THOMAS
CRD#: 153902 / SEC#: 801-71512
RIA
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Contact information
Main Address
8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260
Mailing Address
Phone number
(602) 732-4745
Established
Firm type
Fiscal year end
# of Employees
114
SEC notice filing (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,733 |
| AUM (Assets Under Management) | $ 4,051,333,740 |
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.
