Michael T. Swartz
Professional summary
Michael Thomas Swartz, CFP®, who also goes by Michael Swartz, is a registered financial advisor currently at FIDUCIARY FINANCIAL PLANNING NETWORK located in Onalaska, Wisconsin.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Michael has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Core Areas of Focus
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael Thomas Swartz's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2022
Experience
April 27, 2021 - Present
FIDUCIARY FINANCIAL PLANNING NETWORK
Office #1: 1131 Main Street, Onalaska, WI 54650March 30, 2020 - May 3, 2021
VOYA FINANCIAL ADVISORS, INC.
March 27, 2020 - May 3, 2021
VOYA FINANCIAL ADVISORS, INC.
August 6, 2018 - March 30, 2020
MML INVESTORS SERVICES, LLC
June 7, 2018 - March 30, 2020
MML INVESTORS SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/26/2021)
(4/27/2021)
Exams
Series 7TO
Date: 10/4/2019
General Securities Representative ExaminationCurrent Firm
FIDUCIARY FINANCIAL PLANNING NETWORK
CRD#: 313361 / SEC#: 801-135118
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,004 |
| AUM (Assets Under Management) | $ 164,132,974 |
Red Flags
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