Nathan Schwantes

SCHWANTES FINANCIAL

OVERLAND PARK, KS 66210

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CRD#: 5818266

Professional summary

Nathan Schwantes is a registered financial advisor currently at SCHWANTES FINANCIAL, LLC located in Overland Park, Kansas.

Nathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Nathan has worked at 2 firms and has passed the Series 65 exam.

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.

North Star Events, non-investment related, event planning, event planner/owner. 01/2000. Approximately 8 hours per week, corporate event planning. Licensed life insurance agent, approximately 4 hours per week, selling and servicing life insurance contracts.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nathan Schwantes'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

August 2, 2024 - Present

SCHWANTES FINANCIAL, LLC

Office #1: 8655 College Boulevard, Overland Park, KS 66210

RIA

CRD#: 332143

OVERLAND PARK, KS

Past

August 18, 2021 - March 21, 2025

S&A FINANCIAL SERVICES, INC.

RIA

CRD#: 110471

OVERLAND PARK, KS

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

Arkansas
(11/18/2024)

IAR

Kansas
(8/2/2024)

IAR

Missouri
(10/18/2024)

IAR

Wisconsin
(6/24/2025)

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 65

Date: 6/30/2021

Uniform Investment Adviser Law Examination

Current Firm

SCHWANTES FINANCIAL, LLC

CRD#: 332143 / SEC#:

Arkansas

Registered Investment Advisory firm - (11/18/2024 Approved)

Kansas

Registered Investment Advisory firm - (8/2/2024 Approved)

Missouri

Registered Investment Advisory firm - (10/18/2024 Approved)

Texas

Registered Investment Advisory firm - (8/30/2024 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (6/24/2025 Approved)

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Contact information

Main Address

8655 College Boulevard, Overland Park, KS 66210

Mailing Address

Phone number

(913) 521-2384

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	219
AUM (Assets Under Management)	$ 45,900,000

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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Nathan Schwantes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nathan Schwantes's CRS (Customer Relationship Summary).

Certified licenses

Experience

SCHWANTES FINANCIAL, LLC

S&A FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/30/2021

Current Firm

SCHWANTES FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SCHWANTES FINANCIAL, LLC

TRUST BUT VERIFY

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