Jeffrey A. Swarr

ALIGHT FINANCIAL ADVISORS

Elizabethtown, PA

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CRD#: 5993607

Professional summary

Jeffrey A Swarr, who also goes by J Adam Swarr, J. Adam Swarr, Jeffrey Adam Swarr, is a registered financial advisor currently at ALIGHT FINANCIAL ADVISORS, LLC located in Elizabethtown, Pennsylvania and ALIGHT FINANCIAL SOLUTIONS, LLC located in Charlotte, North Carolina.

Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Jeffrey has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

J Adam Swarr | J. Adam Swarr | Jeffrey Adam Swarr

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 Organization/Company - Mount Joy Church of God Is the business investment related? No Nature of the Business - Church Address of the Business - 30 E Main St, Mount Joy, PA 17552 Position/Title - Ministry Coordinator The start date of your relationship - 8/1/23 Description of Duties - Oversee Children's Ministry, Small Groups, and Special Events Anticipated annual compensation from this activity - 8000 Do you have a financial interest in the organization/company? If yes, please explain. No Approximate # of hours/week you devote to this outside activity during non-business hours - 6-10 Approximate # of hours/week you devote to this outside activity during business hours - 1-5 To your knowledge, is this organization/company a client of the Firm? No If "Yes", detailed descriptions of the relationship between the two entities To your knowledge, will your affiliation with this activity raise or be perceived as a potential conflict of interest? No

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey A Swarr'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®

None

Experience

Current

April 24, 2020 - Present

ALIGHT FINANCIAL ADVISORS, LLC

RIA

CRD#: 158744

Elizabethtown, PA

Current

April 24, 2020 - Present

ALIGHT FINANCIAL SOLUTIONS, LLC

Office #1: 9335 Harris Corners Parkway Ste 150, Charlotte, NC 28269

CRD#: 36509

CHARLOTTE, NC

Past

September 21, 2018 - March 27, 2020

SANTANDER SECURITIES LLC

RIA

CRD#: 41791

HARRISBURG, PA

Past

September 21, 2018 - March 27, 2020

SANTANDER SECURITIES LLC

CRD#: 41791

HARRISBURG, PA

Past

June 4, 2018 - September 13, 2018

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

LANCASTER, PA

Past

May 11, 2018 - September 13, 2018

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

LANCASTER, PA

Past

March 6, 2013 - May 7, 2018

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

LANCASTER, PA

Past

March 6, 2013 - May 7, 2018

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

LANCASTER, PA

Past

May 17, 2012 - March 6, 2013

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

CAMP HILL, PA

Past

November 11, 2011 - March 6, 2013

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

CAMP HILL, PA

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".

ALIGHT FINANCIAL ADVISORS, LLC

ALIGHT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS LLC

CRD#: 158744 / SEC#: 801-72679

RIA

Registered Investment Advisory firm - (9/13/2011 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

North Carolina
(4/24/2020)

IAR

North Carolina
(4/27/2020)

Pennsylvania
(4/24/2020)

IAR

Pennsylvania
(4/24/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/5/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/21/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/4/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/10/2011

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ALIGHT FINANCIAL ADVISORS, LLC

ALIGHT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS LLC

CRD#: 158744 / SEC#: 801-72679

RIA

Registered Investment Advisory firm - (9/13/2011 Approved)

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Contact information

Main Address

9335 Harris Corners Parkway Suite 150, Charlotte, NC 28269

Mailing Address

Phone number

(866) 560-7256

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA ALIGHT IRA ADV PART 2A 2B 03.12.25 (3/31/2025)

AFA PROFESSIONAL MANAGEMENT ADV PART 2A 2B 3.12.25 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	197,089
AUM (Assets Under Management)	$ 30,882,928,556

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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Jeffrey A. Swarr

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey A Swarr's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALIGHT FINANCIAL SOLUTIONS, LLC

SANTANDER SECURITIES LLC

SANTANDER SECURITIES LLC

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ALIGHT FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/5/2012

Series 63

Date: 11/21/2011

SIE

Date: 10/1/2018

Series 7

Date: 5/4/2012

Series 6

Date: 11/10/2011

FINRA

Current Firm

ALIGHT FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALIGHT FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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