Kevin Z. Swad
SWAD WEALTH MANAGEMENT LLC
Santa Rosa, CA 95401
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CRD#: 5936572
Professional summary
Kevin Zachariah Swad, CFP®, who also goes by Zack Swad, is a registered financial advisor currently at SWAD WEALTH MANAGEMENT LLC located in Santa Rosa, California.
Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Kevin has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Biography
Zack Swad is the founder and President of Swad Wealth Management. He has over 10 years of experience within the financial services industry. Prior to founding Swad Wealth Management, Zack worked as a financial advisor at a Fortune 500 company where he managed a practice of $800 million dollars across 300 client households.
Zack decided to start his own firm because he wanted the ability to "go deeper" with his clients and make a true impact on their lives for the better.
I live in Petaluma, and I am getting married in July to my beautiful fiancé, Elise Moseley! I enjoy playing guitar, singing, piano, traveling, and going to the theatre.
Question & Answer
What are your service offerings?
Investment Planning
Comprehensive Financial Planni...
Retirement Planning
Retirement Income Management
Estate Planning
Social Security Planning
Tax Planning
Do you have an area of expertise or specialization?
Baby Boomers
Financial Psychology/Coaching
Fixed Fee (Subscription, Retai...
High Net Worth Client Needs
Hourly
Investment Advice with Ongoing...
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
Zack Swad
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.
REAL ESTATE/PROPERTY MANAGEMENT, INDIANAPOLIS, INDIANA, NOT INVESTMENT RELATED, 06/01/2013, PROPERTY OWNER, LESS THAN 20 HOURS PER MONTH, 0 HOURS DURING SECURITIES TRADING HOURS. LICENSED INSURANCE AGENT; INSURANCE CA LICENSE #0164480; DOES NOT INTEND TO SOLICIT ANY INSURANCE PRODUCTS; DOES NOT RECEIVE INSURANCE COMMISSIONS; 1 HOUR PER MONTH; 0 HOURS DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Zachariah Swad'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®
CFP®
Start date: 2017
Experience
Current
May 12, 2022 - Present
SWAD WEALTH MANAGEMENT LLC
Office #1: 100 Stony Point Rd, Suite 244, Santa Rosa, CA 95401RIA
CRD#: 319218
Santa Rosa, CA
Past
August 20, 2013 - April 24, 2022
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Santa Rosa, CA
Past
October 5, 2011 - April 24, 2022
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Santa Rosa, CA
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
California(5/12/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
SWAD WEALTH MANAGEMENT LLC
KEVIN ZACHARIAH SWAD D/B/A SWAD WEALTH MANAGEMENT | SWAD, KEVIN, ZACHARIAN DBA SWAD WEALTH MANAGEMENT | SWAD, KEVIN, ZACHARIAH DBA SWAD WEALTH MANAGEMENT | SWAD, KEVIN, ZACHARIAH | SWAD WEALTH MANAGEMENT, LLC | SWAD WEALTH MANAGEMENT LLC | SWAD WEALTH MANAGEMENT
CRD#: 319218 / SEC#:
California
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Contact information
Main Address
100 Stony Point Rd, Suite 244, Santa Rosa, CA 95401
Mailing Address
Phone number
(707) 899-1010
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 129 |
| AUM (Assets Under Management) | $ 61,939,147 |
Red Flags
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Company Information
SWAD WEALTH MANAGEMENT LLC
CRD#: 319218Santa Rosa, CA 95401TRUST BUT VERIFY
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Contact information
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