David H. Swift

SECOND 50 FINANCIAL

Chicago, IL

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CRD#: 5708601

Professional summary

David Hugh Swift, CIMA®, who also goes by David Swift, is a registered financial advisor currently at SECOND 50 FINANCIAL located in Chicago, Illinois.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. David has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Swift

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) NAME OF OTHER BUSINESS: DAVID SWIFT (INDIVIDUALLY); INVESTMENT RELATED BUSINESS: YES; ADDRESS OF OTHER BUSINESS: Second 50 Financial Office Locations; NATURE OF OTHER BUSINESS: INSURANCE SALES AND SERVICE; POSITION: LICENSED INSURANCE AGENT; TITLE OR RELATIONSHIP WITH OTHER BUSINESS: OWNER SOLE PROPRIETOR; START DATE: 06/2018; TOTAL NUMBER OF HOURS: 5; TOTAL NUMBER OF HOURS DURING SECURITIES TRADING HOURS:3; DESCRIPTION: PROVIDE INSURANCE SALES AND SERVICE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Hugh Swift'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

June 29, 2022 - Present

SECOND 50 FINANCIAL

RIA

CRD#: 318626

Chicago, IL

Past

February 2, 2021 - June 30, 2022

ASHTON THOMAS PRIVATE WEALTH

RIA

CRD#: 153902

Manhattan Beach, CA

Past

November 2, 2018 - February 5, 2021

OSAIC WEALTH, INC.

CRD#: 23131

REDONDO BEACH, CA

Past

March 5, 2013 - November 2, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

REDONDO BEACH, CA

Past

November 7, 2012 - February 2, 2021

SEIA

RIA

CRD#: 108163

REDONDO BEACH, CA

Past

December 2, 2010 - November 14, 2012

WADDELL & REED

RIA

CRD#: 866

MANHATTAN BEACH, CA

Past

May 24, 2010 - November 14, 2012

WADDELL & REED

CRD#: 866

MANHATTAN BEACH, CA

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".

SECOND 50 FINANCIAL

SECOND 50 FINANCIAL | SECOND 50 FINANCIAL LLC

CRD#: 318626 / SEC#: 801-123346

RIA

Registered Investment Advisory firm - (3/1/2022 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

Arizona
(7/5/2022)

IAR

California
(6/29/2022)

IAR

Florida
(6/4/2025)

IAR

Illinois
(1/3/2023)

IAR

Texas
(6/29/2022)

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: 12/1/2010

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: 5/20/2010

General Securities Representative Examination

Current Firm

SECOND 50 FINANCIAL

SECOND 50 FINANCIAL | SECOND 50 FINANCIAL LLC

CRD#: 318626 / SEC#: 801-123346

RIA

Registered Investment Advisory firm - (3/1/2022 Approved)

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Contact information

Main Address

111 N. Sepulveda Blvd Suite 300, Manhattan Beach, CA 90266

Mailing Address

Phone number

(424) 260-1551

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SECOND 50 FINANCIAL FIRM BROCHURE (9/3/2025)

Regulatory assets under management

Total Number of Accounts	425
AUM (Assets Under Management)	$ 271,505,294

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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Firm Stability Insights

David H. Swift

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Hugh Swift's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASHTON THOMAS PRIVATE WEALTH

OSAIC WEALTH, INC.

SIGNATOR INVESTORS, INC.

SEIA

WADDELL & REED

WADDELL & REED

Primary Firm SEC Registration

SECOND 50 FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 12/1/2010

SIE

Date: 10/1/2018

Series 7

Date: 5/20/2010

Current Firm

SECOND 50 FINANCIAL

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SECOND 50 FINANCIAL

TRUST BUT VERIFY

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