Jessica M. Swaim

GILBERT & COOK

West Des Moines, IA 50265

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CRD#: 5390545

Professional summary

Jessica M Swaim, CFP®, who also goes by Jessica M Swaim, Jessi Swaim, is a registered financial advisor currently at GILBERT & COOK, INC. located in West Des Moines, Iowa.

Jessica is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Jessica has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jessica M Swaim | Jessi Swaim

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jessica M Swaim'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: 2017

Experience

Current

October 15, 2020 - Present

GILBERT & COOK, INC.

Office #1: 5058 Grand Ridge Drive, West Des Moines, IA 50265

RIA

CRD#: 283112

West Des Moines, IA

Past

September 14, 2016 - October 6, 2020

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

WEST DES MOINES, IA

Past

September 13, 2016 - October 6, 2020

EQUITABLE ADVISORS, LLC

CRD#: 6627

WEST DES MOINES, IA

Past

December 6, 2013 - July 14, 2015

HARRIS ASSOCIATES SECURITIES L.P.

CRD#: 6959

CHICAGO, IL

Past

September 14, 2011 - November 22, 2013

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

CHICAGO, IL

Past

September 14, 2011 - November 22, 2013

J.P. MORGAN SECURITIES LLC

CRD#: 79

CHICAGO, IL

Past

June 1, 2009 - October 6, 2011

MORGAN STANLEY

RIA

CRD#: 149777

RIVERWOODS, IL

Past

June 1, 2009 - October 6, 2011

MORGAN STANLEY

CRD#: 149777

RIVERWOODS, IL

Past

October 30, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

COLUMBIA, SC

Past

May 30, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

COLUMBIA, SC

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".

GILBERT & COOK, INC.

CRD#: 283112 / SEC#: 801-107546

RIA

Registered Investment Advisory firm - (4/14/2016 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

Iowa
(10/15/2020)

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: 10/20/2008

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: 5/29/2008

General Securities Representative Examination

Current Firm

GILBERT & COOK, INC.

CRD#: 283112 / SEC#: 801-107546

RIA

Registered Investment Advisory firm - (4/14/2016 Approved)

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Contact information

Main Address

5058 Grand Ridge Drive, West Des Moines, IA 50265

Mailing Address

Phone number

(515) 270-6444

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (10/22/2025)

WRAP BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	3,429
AUM (Assets Under Management)	$ 1,361,575,720

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/18/2024	Cover Page	Report
01/17/2024	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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Advisor Monitoring

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Jessica M. Swaim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jessica M Swaim's CRS (Customer Relationship Summary).

Certified licenses

Experience

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

HARRIS ASSOCIATES SECURITIES L.P.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

GILBERT & COOK, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/20/2008

SIE

Date: 10/1/2018

Series 7

Date: 5/29/2008

Current Firm

GILBERT & COOK, INC.

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

GILBERT & COOK, INC.

TRUST BUT VERIFY

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