Michael T. Swartz
LA CROSSE FINANCIAL PLANNING
ONALASKA, WI 54650
Some features on this profile are disabled
CRD#: 6917325
Professional summary
Michael Thomas Swartz, CFP®, who also goes by Michael Swartz, is a registered financial advisor currently at LA CROSSE FINANCIAL PLANNING INC. 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.
Biography
La Crosse Financial Planning works with clients in two specific specialties:
Freeman Linde, CFP® works primarily with non-medical retirement planning clients.
Michael Swartz, CFP® works with primarily with medical professionals from active employment through retirement.
Question & Answer
What are your service offerings?
Retirement Planning
Do you have an area of expertise or specialization?
Estate & Generational Planning...
Investment Advice with Ongoing...
Medical Professionals
Retirement Planning & Distribu...
Tax Planning
What is your minimum asset requirement?
250K
Are you a "fiduciary"?
Yes
Aliases
Michael 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.
NAME OF ENTITY: Independent Insurance Agent; Yes; 700 3RD ST N STE 202A; LA CROSSE; WI; 54601; Fixed Insurance Sales; Independent Insurance Agent; 3/27/2020; 160; 160; sales of fixed insurance products NAME OF ENTITY: CHARTERPOINT FINANCIAL; Yes; 700 3RD ST N STE 202A; LA CROSSE; WI; 54601; FINANCIAL SERVICES/DBA; FINANCIAL CONSULTANT; 3/3/2020; 50; 40; SALE AND SERVICE INSURANCE,SECURITIES AND INVESTMENT PRODUCTS. NAME OF ENTITY: Swartz Financial Planning; Yes; 700 3rd Street N Suite 202A; La Crosse; WI; 54601; Financial Services/dba; Owner; 6/9/2020; 80; 80; Sale and Service Insurance, securities and Investment Products.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Thomas 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®
CFP®
Start date: 2022
Experience
Current
April 27, 2021 - Present
LA CROSSE FINANCIAL PLANNING INC.
Office #1: 1131 Main Street, Onalaska, WI 54650RIA
CRD#: 313361
ONALASKA, WI
Past
March 30, 2020 - May 3, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
LaCrosse, WI
Past
March 27, 2020 - May 3, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
LaCrosse, WI
Past
August 6, 2018 - March 30, 2020
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
LaCrosse, WI
Past
June 7, 2018 - March 30, 2020
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
LaCrosse, WI
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
Minnesota(7/26/2021)
IAR
Wisconsin(4/27/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/4/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
LA CROSSE FINANCIAL PLANNING INC.
EAGLE FINANCIAL PLANNING | XY FINANCIAL PLANNING | RETIREMENTORSHIP | LA CROSSE FINANCIAL PLANNING INC. | FIDUCIARY FINANCIAL PLANNING NETWORK
CRD#: 313361 / SEC#:
Idaho
Registered Investment Advisory firm - (6/26/2025 Approved)Minnesota
Registered Investment Advisory firm - (7/23/2021 Approved)Texas
Registered Investment Advisory firm - (6/25/2025 Conditional Restricted)Wisconsin
Registered Investment Advisory firm - (4/23/2021 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1131 Main Street, Onalaska, WI 54650
Mailing Address
Phone number
(608) 534-4444
Established
Firm type
Fiscal year end
# of Employees
4
Regulatory assets under management
| Total Number of Accounts | 741 |
| AUM (Assets Under Management) | $ 98,000,000 |
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.
