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JS

Jacob A. Swartz

SWARTZ WEALTH MANAGEMENT LLC
CHICAGO, IL
Some features on this profile are disabled
CRD#: 6821075
JS

Professional summary

Jacob Alexander Swartz, who also goes by Jake Swartz, is a registered financial advisor currently at SWARTZ WEALTH MANAGEMENT LLC located in Chicago, Illinois.

Jacob is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Jacob has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jake Swartz

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 Jacob Alexander Swartz'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

January 6, 2026 - Present

SWARTZ WEALTH MANAGEMENT LLC

RIA
CRD#: 337684
CHICAGO, IL
Past

June 29, 2017 - July 18, 2018

BROWN, GIBBONS, LANG & COMPANY SECURITIES, LLC

BD
CRD#: 29540
CHICAGO, IL

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
Illinois
(1/6/2026)
IAR
Michigan
(1/7/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/8/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/6/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/18/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 6/29/2017
Investment Banking Registered Representative Examination

Current Firm

SW
SWARTZ WEALTH MANAGEMENT LLC
SWARTZ WEALTH MANAGEMENT | SWARTZ WEALTH MANAGEMENT LLC

CRD#: 337684 / SEC#:

Illinois
Registered Investment Advisory firm - (1/6/2026 Approved)
Michigan
Registered Investment Advisory firm - (1/7/2026 Approved)
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Contact information

Main Address
Chicago, IL
Mailing Address
Phone number
(269) 832-2433
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV
0

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.

Company Information

SWARTZ WEALTH MANAGEMENT LLC

CRD#: 337684Chicago, IL

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