Scott C. Francis

SWMG | Financial Advisor

FORT WORTH, TX 76107

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CRD#: 5537436

Professional summary

Scott Clifton Francis, who also goes by Scott C Francis, Scott Francis, is a registered financial advisor currently at SWMG, LLC located in Fort Worth, Texas.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Scott has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

Always Fiduciary

Services Offered

Investment Management

Retirement Planning

Specializations

Business Retirement Plans

Aliases

Scott C Francis | Scott Francis

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)Insurance Agent, General Lines Agent, Life, Accident, and Health; Mansfield, TX; 06/2006; not investment related; 1 - 2 hours per month during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Clifton Francis'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®

None

Experience

Current

June 5, 2026 - Present

SWMG, LLC

Office #1: 3343 Locke Ave Ste 107, Fort Worth, TX 76107

RIA

CRD#: 166688

FORT WORTH, TX

Past

May 23, 2024 - August 7, 2026

HFG WEALTH MANAGEMENT, LLC

RIA

CRD#: 148406

THE WOODLANDS, TX

Past

January 27, 2023 - May 28, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Huntsville, TX

Past

January 27, 2023 - May 28, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Huntsville, TX

Past

September 27, 2016 - January 31, 2023

EDWARD JONES

RIA

CRD#: 250

HUNTSVILLE, TX

Past

September 23, 2016 - January 31, 2023

EDWARD JONES

CRD#: 250

HUNTSVILLE, TX

Past

October 9, 2013 - September 15, 2016

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

HUNTSVILLE, TX

Past

May 16, 2013 - September 15, 2016

BBVA SECURITIES INC.

CRD#: 27060

HUNTSVILLE, TX

Past

October 15, 2010 - August 6, 2012

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

HOUSTON, TX

Past

June 10, 2010 - October 15, 2010

ST JOHNS WEALTH MANAGEMENT

RIA

CRD#: 105564

LIVINGSTON, TX

Past

June 11, 2009 - May 16, 2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

HUNTSVILLE, TX

Past

August 13, 2008 - March 6, 2009

EDWARD JONES

RIA

CRD#: 250

MONTGOMERY, TX

Past

July 21, 2008 - March 6, 2009

EDWARD JONES

CRD#: 250

MONTGOMERY, TX

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".

SWMG, LLC

STRITTMATTER WEALTH MANAGEMENT GROUP, LLC | SWMG, LLC

CRD#: 166688 / SEC#: 801-116898

RIA

Registered Investment Advisory firm - (7/3/2019 Approved)

Texas

Registered Investment Advisory firm - (11/25/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Colorado
(6/25/2026)

IAR

Texas
(6/5/2026)

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: 7/31/2008

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: 7/19/2008

General Securities Representative Examination

Current Firm

SWMG, LLC

STRITTMATTER WEALTH MANAGEMENT GROUP, LLC | SWMG, LLC

CRD#: 166688 / SEC#: 801-116898

RIA

Registered Investment Advisory firm - (7/3/2019 Approved)

Texas

Registered Investment Advisory firm - (11/25/2019 Terminated)

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Contact information

Main Address

3343 Locke Ave Ste 107, Fort Worth, TX 76107

Mailing Address

Phone number

(817) 210-3444

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SWMG, LLC ADV PART 2A BROCHURE (11/18/2025)

Regulatory assets under management

Total Number of Accounts	1,388
AUM (Assets Under Management)	$ 320,056,761

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Scott C. Francis

Professional summary

At a Glance

Services Offered

Specializations

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Clifton Francis's CRS (Customer Relationship Summary).

Certified licenses

Experience

HFG WEALTH MANAGEMENT, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

EDWARD JONES

EDWARD JONES

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA SECURITIES INC.

PNC MANAGED ACCOUNT SOLUTIONS, INC.

ST JOHNS WEALTH MANAGEMENT

BBVA COMPASS INVESTMENT SOLUTIONS, INC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

SWMG, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/31/2008

SIE

Date: 10/1/2018

Series 7

Date: 7/19/2008

Current Firm

SWMG, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SWMG, LLC

TRUST BUT VERIFY

Contact information

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