Sarah E. Swantner

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CRD#: 5675429

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Sarah Elizabeth Swantner, CFP®, who also goes by Sarah E Swantner, Sarah Elizabeth Zeller, was a registered financial professional .

Sarah is a previously registered financial professional and started their career in finance in 2009. Sarah had worked at 6 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sarah E Swantner | Sarah Elizabeth Zeller

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Experience

Past

February 9, 2012 - February 15, 2022

KAHLER FINANCIAL GROUP, INC.

RIA

CRD#: 124042

RAPID CITY, SD

Past

January 14, 2011 - February 2, 2012

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 124446

BOISE, ID

Past

January 14, 2011 - February 2, 2012

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

BOISE, ID

Past

April 1, 2010 - January 19, 2011

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

BOISE, ID

Past

March 26, 2010 - January 19, 2011

PRINCIPAL SECURITIES, INC.

CRD#: 1137

BOISE, ID

Past

September 4, 2009 - February 18, 2010

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

BOISE, ID

Past

July 22, 2009 - February 18, 2010

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

BOISE, ID

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".

KAHLER FINANCIAL GROUP, INC.

CRD#: 124042 / SEC#: 801-62099

RIA

Registered Investment Advisory firm - (6/5/2003 Approved)

South Dakota

Registered Investment Advisory firm - (1/19/2005 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 9/3/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 7/21/2009

General Securities Representative Examination

Current Firm

KAHLER FINANCIAL GROUP, INC.

CRD#: 124042 / SEC#: 801-62099

RIA

Registered Investment Advisory firm - (6/5/2003 Approved)

South Dakota

Registered Investment Advisory firm - (1/19/2005 Terminated)

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Contact information

Main Address

1010 9th Street Suite 1, Rapid City, SD 57701

Mailing Address

Phone number

(605) 343-1400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	537
AUM (Assets Under Management)	$ 173,896,900

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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Sarah E. Swantner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KAHLER FINANCIAL GROUP, INC.

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

J.P. TURNER & COMPANY, L.L.C.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

Primary Firm SEC Registration

KAHLER FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/3/2009

Series 7

Date: 7/21/2009

Current Firm

KAHLER FINANCIAL GROUP, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KAHLER FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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