Jonathan H. Swanburg

TSA WEALTH MANAGEMENT

Houston, TX 77057

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CRD#: 5713713

Professional summary

Jonathan Harrison Swanburg, CFP® is a registered financial advisor currently at TSA WEALTH MANAGEMENT located in Houston, Texas.

Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Jonathan has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

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.

FB LAX; NOT INVESTMENT-RELATED; HOUSTON, TX; YOUTH SPORTS NON-PROFIT; PRESIDENT; START DATE: 7/2025; APPROXIMATELY 30 HRS/MO OUTSIDE TRADING HOURS; LEADING AND DIRECTING EXECUTIVE TEAM, MAKING HIGH-LEVEL DECISIONS THAT IMPACT THE COMPANY'S FINANCIAL STATUS OR FUNCTIONAL PROCESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Harrison Swanburg'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: 2013

Experience

Current

October 3, 2022 - Present

TSA WEALTH MANAGEMENT

Office #1: 5718 Westheimer Road Suite 950, Houston, TX 77057

RIA

CRD#: 323123

Houston, TX

Past

January 2, 2015 - January 2, 2023

CALTON & ASSOCIATES, INC.

CRD#: 20999

Houston, TX

Past

November 19, 2009 - February 24, 2023

TRI-STAR ADVISORS, INC.

RIA

CRD#: 149760

HOUSTON, TX

Past

October 12, 2009 - December 31, 2014

TRI-STAR FINANCIAL

CRD#: 32458

HOUSTON, 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".

TSA WEALTH MANAGEMENT

TSA WEALTH MANAGEMENT | TSA WEALTH MANAGEMENT LLC

CRD#: 323123 / SEC#: 801-126689

RIA

Registered Investment Advisory firm - (9/30/2022 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

Texas
(10/3/2022)

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: 11/17/2009

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: 10/9/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/30/2010

General Securities Principal Examination

Current Firm

TSA WEALTH MANAGEMENT

TSA WEALTH MANAGEMENT | TSA WEALTH MANAGEMENT LLC

CRD#: 323123 / SEC#: 801-126689

RIA

Registered Investment Advisory firm - (9/30/2022 Approved)

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Contact information

Main Address

5718 Westheimer Road Suite 950, Houston, TX 77057

Mailing Address

Phone number

(713) 735-9217

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

TSAWM ADV PART 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts	658
AUM (Assets Under Management)	$ 300,542,390

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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Jonathan H. Swanburg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Harrison Swanburg's CRS (Customer Relationship Summary).

Certified licenses

Experience

CALTON & ASSOCIATES, INC.

TRI-STAR ADVISORS, INC.

TRI-STAR FINANCIAL

Primary Firm SEC Registration

TSA WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 11/17/2009

SIE

Date: 10/1/2018

Series 7

Date: 10/9/2009

Series 24

Date: 7/30/2010

Current Firm

TSA WEALTH MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TSA WEALTH MANAGEMENT

TRUST BUT VERIFY

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