Mitzi N. Swaffar

MIDWEST FINANCIAL GROUP LLC

Overland Park, KS 66213

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CRD#: 5227449

Professional summary

Mitzi Nicole Swaffar, CFP® is a registered financial advisor currently at MIDWEST FINANCIAL GROUP LLC located in Overland Park, Kansas.

Mitzi is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Mitzi has worked at 5 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.

1). MS FINANCIAL RESOURCES, OWNER/PRESIDENT-SALES OF FIXED AND LIFE INSURANCE LONG TERM CARE INSURANCE 2). Associates Financial Group; Associate; 401k sales and service; no ownership; 5-7 hours/month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mitzi Nicole Swaffar'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: 2014

Experience

Current

December 4, 2019 - Present

MIDWEST FINANCIAL GROUP LLC

Office #1: 7400 W 130th Street, Suite 100, Overland Park, KS 66213

RIA

CRD#: 175288

Overland Park, KS

Past

August 3, 2011 - December 5, 2019

CREATIVEONE SECURITIES, LLC

RIA

CRD#: 152974

OVERLAND PARK, KS

Past

August 3, 2011 - December 5, 2019

CREATIVEONE SECURITIES, LLC

CRD#: 152974

OVERLAND PARK, KS

Past

February 16, 2007 - August 3, 2011

INVESTMENT ADVISORS CORP

RIA

CRD#: 117531

LEAWOOD, KS

Past

February 16, 2007 - August 3, 2011

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

OVERLAND PARK, KS

Past

December 14, 2006 - March 1, 2007

SII INVESTMENTS, INC.

CRD#: 2225

MISSION, KS

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".

MIDWEST FINANCIAL GROUP LLC

ALPHA ASSET MANAGEMENT | MS FINANCIAL RESOURCES | MIDWEST FINANCIAL PARTNERS | MIDWEST FINANCIAL GROUP LLC | FRESH FINANCIAL PLANNING

CRD#: 175288 / SEC#: 801-81177

RIA

Registered Investment Advisory firm - (3/27/2015 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

Kansas
(12/4/2019)

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: 1/16/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/13/2006

General Securities Representative Examination

Current Firm

MIDWEST FINANCIAL GROUP LLC

ALPHA ASSET MANAGEMENT | MS FINANCIAL RESOURCES | MIDWEST FINANCIAL PARTNERS | MIDWEST FINANCIAL GROUP LLC | FRESH FINANCIAL PLANNING

CRD#: 175288 / SEC#: 801-81177

RIA

Registered Investment Advisory firm - (3/27/2015 Approved)

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Contact information

Main Address

7400 W 130th Street, Suite 100, Overland Park, KS 66213

Mailing Address

Phone number

(913) 696-0041

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

MFG ADV PART 2A (2/7/2025)

MFG ADV PART 2A APPENDIX (2/7/2025)

Regulatory assets under management

Total Number of Accounts	2,328
AUM (Assets Under Management)	$ 477,818,932

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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Mitzi N. Swaffar

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mitzi Nicole Swaffar's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREATIVEONE SECURITIES, LLC

CREATIVEONE SECURITIES, LLC

INVESTMENT ADVISORS CORP

BROKER DEALER FINANCIAL SERVICES CORP.

SII INVESTMENTS, INC.

Primary Firm SEC Registration

MIDWEST FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/16/2007

SIE

Date: 10/1/2018

Series 7

Date: 12/13/2006

Current Firm

MIDWEST FINANCIAL GROUP LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MIDWEST FINANCIAL GROUP LLC

TRUST BUT VERIFY

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