Kevin P. Swantek

OSAIC WEALTH

BLUE BELL, PA 19422

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CRD#: 5298992

Professional summary

Kevin Patrick Swantek, CFP®, CLU® is a registered financial advisor currently at OSAIC WEALTH, INC. located in Blue Bell, Pennsylvania.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Kevin has worked at 3 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) KEVIN SWANTEK INDEPENDENCE FINANCIAL GROUP, LTD. 660 SENTRY PARKWAY, SUITE 100 BLUE BELL, PA 19422 CATEGORY: INSURANCE INVESTMENT RELATED: YES TITLE: CO-OWNER DUTIES: OFFERING ACCIDENT INSURANCE, DISABILITY INSURANCE, FIXED ANNUITIES, LONG TERM CARE INSURANCE, AND TRADITIONAL FIXED LIFE INSURANCE. START DATE: 06/01/2008 HOURS PER MONTH: 10 HOURS PER MONTH DURING TRADING HOURS: 10. 2) KEVIN SWANTEK 660 SENTRY PARKWAY, SUITE 100, BLUE BELL, PA 19422 CATEGORY: INSURANCE INVESTMENT RELATED: YES TITLE: AGENT/BROKER DUTIES: OFFERING DISABILITY INSURANCE, FIXED ANNUITIES, LONG TERM CARE INSURANCE, AND TRADITIONAL FIXED LIFE INSURANCE FROM VARIOUS CARRIERS. START DATE: 06/01/2008 HOURS PER MONTH: 6 HOURS PER MONTH DURING TRADING HOURS: 3. 3) KEVIN P. SWANTEK 284 PARKVIEW DRIVE SOUDERTON, PA 18964 CATEGORY: REAL ESTATE RENTAL INVESTMENT-RELATED: YES TITLE: OWNER OF RENTAL PROPERTY. DUTIES: LANDLORD FOR PROPERTY. START DATE: 12/01/2011 HOURS PER MONTH: 2 HOURS PER MONTH DURING TRADING HOURS: 0. 4) KEVIN SWANTEK 245 TELFORD PIKE TELFORD, PA 18969 CATEGORY: REAL ESTATE MANAGEMENT/RENTAL INVESTMENT RELATED: YES TITLE: OWNER DUTIES: RENT AND MANAGE PROPERTY. START DATE: 06/30/2016 HOURS PER MONTH: 2 HOURS PER MONTH DURING TRADING HOURS: 0. 5) KEVIN SWANTEK INDEPENDENCE FINANCIAL ADVISORS, INC. 243 � TELFORD PIKE TELFORD PA 18969 CATEGORY: LLC INVESTMENT RELATED: N TITLE: SOLE OWNER DUTIES: SOLE OWNER OF ENTITY USED FOR EXPENSE MANAGEMENT PURPOSES RE: FIXED INSURANCE RELATED BUSINESS START DATE: 10/15/2011 HOURS PER MONTH: 2 HOURS PER MONTH DURING TRADING HOURS: 0 6) NEXUS FINANCIAL LLC 660 SENTRY PARKWAY SUITE 100 BLUE BELL, PA 19422 CATEGORY: ENTITY /LLC INVESTMENT RELATED: YES TITLE: PARTNER/CO-OWNER DUTIES: CO-OWNER OF HOLDING ENTITY FOR RHM PARTNERS LLC AND INDEPENDENCE FINANCIAL GROUP START DATE: 02/06/2019 HOURS PER MONTH: 1 HOURS PER MONTH DURING TRADING HOURS: 0. 7) RHM PARTNERS LLC 660 SENTRY PARKWAY SUITE 100 BLUE BELL PA 19422 CATEGORY: LLC/INSURANCE INVESTMENT RELATED: Y TITLE: CO-OWNER DUTIES: OFFERING ACCIDENT INSURANCE, FIXED ANNUITIES, DISABILITY INSURANCE, COMMISSION BASED GROUP BENEFITS, FIXED INDEXED ANNUITIES, FIXED LIFE SETTLEMENTS, LONG TERM CARE INSURANCE, PREMIUM FINANCING, AND TRADITIONAL LIFE INSURANCE START DATE: 9/22/2008 HOURS PER MONTH: 160 HOURS PER MONTH DURING TRADING HOURS: 160. 8)KEVIN SWANTEK 801 UPPER STATE ROAD CHALFONT PA 18914 CATEGORY: REAL ESTATE RENTAL INVESTMENT RELATED: YES TITLE: SOLE OWNER DUTIES: RENTAL OF HOME, MAKE REPAIRS AS NEEDED, MANAGE PROPERTY START DATE: 09/15/2021 HOURS PER MONTH: 2 HOURS PER MONTH DURING TRADING HOURS: 0 9) SBL PRODUCTIONS INC. 243 � TELFORD PIKE TELFORD PA 18969 CATEGORY: CO-OWNER/CONSULTANT INVESTMENT RELATED: NO TITLE: CO-OWNER/CONSULTANT DUTIES: BOOK-KEEPING, VENDOR CONTRACT, AND BUSINESS MANAGEMENT SERVICES START DATE: 1/1/2022 HOURS PER MONTH: 2 HOURS PER MONTH DURING TRADING HOURS: 0 10) SBL PRODUCTIONS INC. 243 � TELFORD PIKE TELFORD PA 18969 CATEGORY: CO-OWNER/CONSULTANT INVESTMENT RELATED: NO TITLE: CO-OWNER/CONSULTANT DUTIES: BOOK-KEEPING, VENDOR CONTRACT, AND BUSINESS MANAGEMENT SERVICES START DATE: 1/1/2022 HOURS PER MONTH: 2 HOURS PER MONTH DURING TRADING HOURS: 0 FORM BR UPDATE: NO WEBSITE UPDATED ONTO FORM BR: NO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Patrick Swantek's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Kevin Patrick Swantek'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: 2011

CLU^®

Chartered Life Underwriter

Experience

Current

January 24, 2025 - Present

OSAIC WEALTH, INC.

Office #1: 660 Sentry Parkway Suite 100, Blue Bell, PA 19422

RIA

CRD#: 23131

BLUE BELL, PA

Current

January 24, 2025 - Present

OSAIC WEALTH, INC.

Office #1: 660 Sentry Parkway Suite 100, Blue Bell, PA 19422

RIA

CRD#: 23131

BLUE BELL, PA

Past

March 31, 2009 - January 24, 2025

OSAIC FA, INC.

RIA

CRD#: 3978

BLUE BELL, PA

Past

October 20, 2008 - January 24, 2025

OSAIC FA, INC.

CRD#: 3978

BLUE BELL, PA

Past

May 1, 2008 - October 29, 2008

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

CONSHOHOCKEN, PA

Past

April 10, 2008 - October 29, 2008

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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.

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

Arizona
(1/24/2025)

Connecticut
(1/24/2025)

Delaware
(1/24/2025)

Florida
(1/24/2025)

Illinois
(1/24/2025)

Kentucky
(1/24/2025)

Maryland
(1/24/2025)

Massachusetts
(1/24/2025)

New Jersey
(1/24/2025)

New Mexico
(1/24/2025)

New York
(1/24/2025)

North Carolina
(1/24/2025)

Ohio
(1/24/2025)

Oregon
(1/24/2025)

Pennsylvania
(1/24/2025)

IAR

Pennsylvania
(1/24/2025)

South Carolina
(1/24/2025)

Texas
(1/24/2025)

IAR

Texas
(1/24/2025)

Virginia
(1/24/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/30/2008

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: 4/9/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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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Kevin P. Swantek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Patrick Swantek's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Kevin Patrick Swantek's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC FA, INC.

OSAIC FA, INC.

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/30/2008

SIE

Date: 10/1/2018

Series 7

Date: 4/9/2008

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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