William T. Swanner

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CRD#: 6820552

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

William Thomas Swanner, who also goes by William Thomas Swanner, William Swanner, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 2018. William had worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

William Thomas Swanner | William Swanner

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.

Business Name: Tidewater Financial Investment Related: Yes Address: 3570 Carmel Mountain Rd Ste 150 San Diego CA 92130 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Registered Field Assistant; Insurance; Investment Advisory services through an independent outside RIA Position, Title or Relationship: lient Liaison Start Date: 5/29/2020 Hours per month: 51% - 60% (81 - 96 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: I am the support role and assist my advisors on anything they need

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 31, 2025 - November 6, 2025

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

ENCINITAS, CA

Past

March 6, 2023 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

ENCINITAS, CA

Past

December 2, 2022 - November 6, 2025

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

ENCINITAS, CA

Past

April 29, 2020 - September 19, 2022

KESTRA PRIVATE WEALTH SERVICES, LLC

RIA

CRD#: 155193

san diego, CA

Past

April 29, 2020 - September 19, 2022

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

ENCINITAS, CA

Past

June 22, 2018 - May 27, 2020

HILLTOP SECURITIES INC.

RIA

CRD#: 6220

Del Mar, CA

Past

March 30, 2018 - May 27, 2020

HILLTOP SECURITIES INC.

CRD#: 6220

Del Mar, CA

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".

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 6/22/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/30/2018

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 8/23/2024

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 7/19/2024

General Securities Sales Supervisor - General Module Examination

Current Firm

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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Contact information

Main Address

155 Seaport Blvd, Boston, MA 02210-2698

Mailing Address

Phone number

(617) 563-7000

Established

Firm type

Fiscal year end

# of Employees

16,291

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)

FIDELITY STRATEGIC DISCIPLINES (11/10/2025)

FIDELITY WEALTH SERVICES (9/10/2025)

STRATEGIC ADVISERS LLC (9/10/2025)

FIDELITY MANAGED FIDFOLIOS (3/31/2025)

FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)

FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,486,631
AUM (Assets Under Management)	$ 1,067,664,605,590

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2025	Cover Page	Report

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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Firm Stability Insights

William T. Swanner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

KESTRA PRIVATE WEALTH SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

Primary Firm SEC Registration

STRATEGIC ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/22/2018

SIE

Date: 10/1/2018

Series 7

Date: 3/30/2018

Series 9

Date: 8/23/2024

Series 10

Date: 7/19/2024

Current Firm

STRATEGIC ADVISERS LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STRATEGIC ADVISERS LLC

TRUST BUT VERIFY

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