Philip L. Swann

WELL-PLANNED FINANCIAL LLC

STAUNTON, VA 24401

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CRD#: 6638743

Professional summary

Philip Lawton Swann Jr. is a registered financial advisor currently at WELL-PLANNED FINANCIAL LLC located in Staunton, Virginia.

Philip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Philip has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO and SIE 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Lawton Swann Jr.'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

July 29, 2019 - Present

WELL-PLANNED FINANCIAL LLC

Office #1: 500 Commerce Road, Staunton, VA 24401

RIA

CRD#: 304622

STAUNTON, VA

Past

February 5, 2019 - April 12, 2019

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

CHARLOTTESVILLE, VA

Past

January 10, 2019 - April 12, 2019

CETERA WEALTH SERVICES, LLC

CRD#: 13572

CHARLOTTESVILLE, VA

Past

April 18, 2016 - November 9, 2018

THE HENDERSON GROUP

RIA

CRD#: 115840

STAUNTON, VA

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

Virginia
(7/29/2019)

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

Series 63

Date: 2/4/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/1/2015

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/10/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/15/2018

Securities Industry Essentials Examination

Current Firm

WELL-PLANNED FINANCIAL LLC

CRD#: 304622 / SEC#:

Virginia

Registered Investment Advisory firm - (7/29/2019 Approved)

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Contact information

Main Address

500 Commerce Road, Staunton, VA 24401

Mailing Address

Phone number

(540) 302-5252

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	40
AUM (Assets Under Management)	$ 7,300,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Philip L. Swann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Lawton Swann Jr.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

WELL-PLANNED FINANCIAL LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

THE HENDERSON GROUP

State Registrations and Notice Filings

Exams

Series 63

Date: 2/4/2019

Series 65

Date: 5/1/2015

Series 7TO

Date: 1/10/2019

SIE

Date: 11/15/2018

Current Firm

WELL-PLANNED FINANCIAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WELL-PLANNED FINANCIAL LLC

TRUST BUT VERIFY

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