Sadie E. Swisher

PROFUSION FINANCIAL

St. Louis, MO 63105

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CRD#: 6334185

Professional summary

Sadie Elizabeth Pearl Swisher, who also goes by Sadie Swisher, is a registered financial advisor currently at PROFUSION FINANCIAL located in St. Louis, Missouri.

Sadie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Sadie has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sadie Swisher

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sadie Elizabeth Pearl Swisher'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

February 21, 2019 - Present

PROFUSION FINANCIAL

Office #1: 7711 Bonhomme Ave Ste 600, St. Louis, MO 63105

RIA

CRD#: 167003

St. Louis, MO

Past

October 18, 2017 - March 7, 2018

TD AMERITRADE, INC.

CRD#: 7870

ST. LOUIS, MO

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".

PROFUSION FINANCIAL

FROST FINANCIAL | PROFUSION FINANCIAL, INC. | PROFUSION FINANCIAL

CRD#: 167003 / SEC#: 801-131756

RIA

Registered Investment Advisory firm - (1/6/2025 Approved)

Iowa

Registered Investment Advisory firm - (1/10/2025 Terminated)

Missouri

Registered Investment Advisory firm - (1/10/2025 Terminated)

Texas

Registered Investment Advisory firm - (1/10/2025 Terminated)

Virginia

Registered Investment Advisory firm - (1/13/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Missouri
(2/21/2019)

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: 2/21/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/27/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/7/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/18/2017

General Securities Representative Examination

Current Firm

PROFUSION FINANCIAL

FROST FINANCIAL | PROFUSION FINANCIAL, INC. | PROFUSION FINANCIAL

CRD#: 167003 / SEC#: 801-131756

RIA

Registered Investment Advisory firm - (1/6/2025 Approved)

Iowa

Registered Investment Advisory firm - (1/10/2025 Terminated)

Missouri

Registered Investment Advisory firm - (1/10/2025 Terminated)

Texas

Registered Investment Advisory firm - (1/10/2025 Terminated)

Virginia

Registered Investment Advisory firm - (1/13/2025 Terminated)

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Contact information

Main Address

7711 Bonhomme Ave Ste 600, St. Louis, MO 63105

Mailing Address

Phone number

(314) 441-6107

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/7/2025)

Regulatory assets under management

Total Number of Accounts	263
AUM (Assets Under Management)	$ 124,930,000

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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Sadie E. Swisher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sadie Elizabeth Pearl Swisher's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROFUSION FINANCIAL

TD AMERITRADE, INC.

Primary Firm SEC Registration

PROFUSION FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 2/21/2019

Series 63

Date: 10/27/2017

SIE

Date: 3/7/2018

Series 7

Date: 10/18/2017

Current Firm

PROFUSION FINANCIAL

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROFUSION FINANCIAL

TRUST BUT VERIFY

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