Ryan J. Swain

BIG SKY WEALTH ADVISORS

Great Falls, MT 59401

Some features on this profile are disabled

CRD#: 7515045

Professional summary

Ryan James Swain, who also goes by Ryan Swain, is a registered financial advisor currently at BIG SKY WEALTH ADVISORS, LLC located in Great Falls, Montana.

Ryan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Ryan has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ryan Swain

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.

1. ASH BROKERAGE; INVESTMENT RELATED; 888 S. HARRISON ST., STE 900 FORT WAYNE, IN 46802; START DATE: JULY 2024; INSURANCE AGENT; HEALTH AND LIFE INSURANCE; LESS THAN 5 HOURS PER MONTH OUTSIDE OF SECURITIES TRADING HOURS; 0 HOURS PER MONTH DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan James Swain'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®

None

Experience

Current

July 15, 2024 - Present

BIG SKY WEALTH ADVISORS, LLC

Office #1: 812 14th Street N, Great Falls, MT 59401

RIA

CRD#: 321272

Great Falls, MT

Past

January 4, 2024 - February 16, 2024

WORLD EQUITY GROUP, INC.

CRD#: 29087

Bozeman, MT

Past

August 8, 2022 - December 31, 2023

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

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".

BIG SKY WEALTH ADVISORS, LLC

CRD#: 321272 / SEC#: 801-130247

RIA

Registered Investment Advisory firm - (5/10/2024 Approved)

Montana

Registered Investment Advisory firm - (5/20/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Montana
(7/15/2024)

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: 4/9/2024

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/23/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/8/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/2/2022

Securities Industry Essentials Examination

Current Firm

BIG SKY WEALTH ADVISORS, LLC

CRD#: 321272 / SEC#: 801-130247

RIA

Registered Investment Advisory firm - (5/10/2024 Approved)

Montana

Registered Investment Advisory firm - (5/20/2024 Terminated)

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

812 14th Street N, Great Falls, MT 59401

Mailing Address

Post Office Box 1626, Great Falls, MT 59403

Phone number

(406) 315-2627

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BIG SKY 2A BROCHURE (9/4/2025)

Regulatory assets under management

Total Number of Accounts	537
AUM (Assets Under Management)	$ 121,445,342

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.

Similar Advisors

David Brown

D.A. DAVIDSON & CO.

IAR

Great Falls, MT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ryan J. Swain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan James Swain's CRS (Customer Relationship Summary).

Certified licenses

Experience

WORLD EQUITY GROUP, INC.

THE LEADERS GROUP, INC.

Primary Firm SEC Registration

BIG SKY WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/9/2024

Series 63

Date: 8/23/2022

Series 7TO

Date: 8/8/2022

SIE

Date: 2/2/2022

Current Firm

BIG SKY WEALTH ADVISORS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BIG SKY WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors