Jonathan R. Swofford

CORE ADVISORY GROUP

Charlotte, NC 28210

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CRD#: 6788403

Professional summary

Jonathan Robert Swofford, who also goes by Jon Swofford, Jonathan Swofford, is a registered financial advisor currently at CORE ADVISORY GROUP located in Charlotte, North Carolina and LPL FINANCIAL LLC located in Charlotte, North Carolina.

Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Jonathan has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jon Swofford | Jonathan Swofford

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 Jonathan Robert Swofford'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

March 8, 2026 - Present

CORE ADVISORY GROUP

Office #1: 6100 Fairview Road Suite 1150, Charlotte, NC 28210

RIA

CRD#: 306661

Charlotte, NC

Current

March 2, 2026 - Present

LPL FINANCIAL LLC

Office #1: 6100 Fairview Rd., Ste 625, Charlotte, NC 28210

RIA

CRD#: 6413

CHARLOTTE, NC

Past

March 31, 2025 - January 15, 2026

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

CHARLOTTE, NC

Past

February 4, 2019 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

CHARLOTTE, NC

Past

January 29, 2019 - January 15, 2026

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

ATLANTA, GA

Past

March 23, 2018 - July 12, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

DURHAM, NC

Past

June 16, 2017 - July 10, 2018

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

DURHAM, NC

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".

CORE ADVISORY GROUP

CRD#: 306661 / SEC#: 801-122934

RIA

Registered Investment Advisory firm - (1/4/2022 Approved)

North Carolina

Registered Investment Advisory firm - (2/24/2022 Terminated)

South Carolina

Registered Investment Advisory firm - (2/23/2022 Terminated)

Texas

Registered Investment Advisory firm - (2/23/2022 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.

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
(3/4/2026)

IAR

North Carolina
(3/8/2026)

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 66

Date: 7/18/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/10/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/16/2017

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CORE ADVISORY GROUP

CRD#: 306661 / SEC#: 801-122934

RIA

Registered Investment Advisory firm - (1/4/2022 Approved)

North Carolina

Registered Investment Advisory firm - (2/24/2022 Terminated)

South Carolina

Registered Investment Advisory firm - (2/23/2022 Terminated)

Texas

Registered Investment Advisory firm - (2/23/2022 Terminated)

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Contact information

Main Address

744 Arden Lane Suite 175, Rock Hill, SC 29732

Mailing Address

Phone number

(803) 323-8706

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/2/2026)

Regulatory assets under management

Total Number of Accounts	1,819
AUM (Assets Under Management)	$ 338,381,991

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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Jonathan R. Swofford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Robert Swofford's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

STRATEGIC ADVISERS LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

CORE ADVISORY GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 7/18/2017

SIE

Date: 7/10/2018

Series 7

Date: 6/16/2017

FINRA

Current Firm

CORE ADVISORY GROUP

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CORE ADVISORY GROUP

TRUST BUT VERIFY

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