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DS

Donald A. Swain

PROFESSIONAL FINANCIAL MANAGEMENT
APPLETON, WI 54914
Some features on this profile are disabled
CRD#: 5619107
DS

Professional summary

Donald Allen Swain is a registered financial advisor currently at PROFESSIONAL FINANCIAL MANAGEMENT, INC. located in Appleton, Wisconsin.

Donald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Donald has worked at 4 firms and has passed the Series 63, Series 65 and Series 7 exams.

top-8-questions

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.
33.3% member of Algo Properties LLC, a limited liability company, which owns real estate

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Allen Swain'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®
None

Experience

Current

June 29, 2010 - Present

PROFESSIONAL FINANCIAL MANAGEMENT, INC.

Office #1: W6184 Aerotech Drive Suite A, Appleton, WI 54914
RIA
CRD#: 154016
APPLETON, WI
Past

January 22, 2010 - July 1, 2010

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
LITTLE CHUTE, WI
Past

December 23, 2009 - July 1, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
LITTLE CHUTE, WI
Past

January 19, 2009 - April 14, 2009

WEALTH MANAGEMENT LLC

RIA
CRD#: 109074
APPLETON, WI

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
Texas
(7/23/2021)
IAR
Wisconsin
(6/29/2010)

Exams

State Security Law Exam
RR
Series 63
Date: 1/15/2010
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/16/2009
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/22/2009
General Securities Representative Examination

Current Firm

PROFESSIONAL FINANCIAL MANAGEMENT, INC.
PROFESSIONAL FINANCIAL MANAGEMENT, INC.
PROFESSIONAL FINANCIAL MANAGEMENT, INC.

CRD#: 154016 / SEC#:

Texas
Registered Investment Advisory firm - (7/15/2021 Conditional Restricted)
Wisconsin
Registered Investment Advisory firm - (6/30/2010 Approved)
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Contact information

Main Address
W6184 Aerotech Drive Suite A, Appleton, WI 54914
Mailing Address
Phone number
(920) 687-2600
Established
Firm type
Fiscal year end
# of Employees
5

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts680
AUM (Assets Under Management)$ 96,565,073

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.

Company Information

PROFESSIONAL FINANCIAL MANAGEMENT, INC.

PROFESSIONAL FINANCIAL MANAGEMENT, INC.

CRD#: 154016Appleton, WI 54914

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