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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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Zachary David Swaffer

Zachary D. Swaffer

MODERN WEALTH MANAGEMENT
DENVER, CO 80206
Some features on this profile are disabled
CRD#: 6944742
Zachary David Swaffer

Professional summary

Zachary David Swaffer, CFP® is a registered financial advisor currently at MODERN WEALTH MANAGEMENT, LLC located in Denver, Colorado.

Zachary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Zachary has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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 Zachary David Swaffer'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®
CFP®

Certified Financial Planner

Start date: 2020

Experience

Current

April 17, 2026 - Present

MODERN WEALTH MANAGEMENT, LLC

Office #1: 250 Fillmore Street Suite 425, Denver, CO 80206
RIA
CRD#: 324624
DENVER, CO
Past

January 27, 2022 - April 29, 2026

LPL FINANCIAL LLC

BD
CRD#: 6413
DENVER, CO
Past

January 18, 2022 - April 29, 2026

LPL FINANCIAL LLC

RIA
CRD#: 6413
DENVER, CO
Past

July 25, 2018 - January 5, 2022

TRILOGY CAPITAL, INC.

RIA
CRD#: 281597
Denver, CO

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".
MW
MODERN WEALTH MANAGEMENT, LLC
MODERN WEALTH MANAGEMENT OF ARIZONA | PUBLIC SAFETY FINANCIAL | PETSO FINANCIAL, A DIVISION OF MODERN WEALTH MANAGEMENT, LLC | MODERN WEALTH MANAGEMENT, LLC

CRD#: 324624 / SEC#: 801-127231

RIA
Registered Investment Advisory firm - (5/2/2023 Approved)

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
Colorado
(4/17/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 2/4/2022
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/25/2018
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/27/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/14/2022
Securities Industry Essentials Examination

Current Firm

MW
MODERN WEALTH MANAGEMENT, LLC
MODERN WEALTH MANAGEMENT OF ARIZONA | PUBLIC SAFETY FINANCIAL | PETSO FINANCIAL, A DIVISION OF MODERN WEALTH MANAGEMENT, LLC | MODERN WEALTH MANAGEMENT, LLC

CRD#: 324624 / SEC#: 801-127231

RIA
Registered Investment Advisory firm - (5/2/2023 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1712 Main Street Suite 400, Kansas City, MO 64108
Mailing Address
Phone number
(913) 393-1000
Established
Firm type
Fiscal year end
# of Employees
253

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MODERN WEALTH MANAGEMENT WRAP FEE BROCHURE (3/20/2026)
MARCH 2026 ADV 2A (3/20/2026)

Regulatory assets under management

Total Number of Accounts30,617
AUM (Assets Under Management)$ 10,904,051,242

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

MODERN WEALTH MANAGEMENT, LLC

CRD#: 324624Denver, CO 80206

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