Randy L. Swartwood

M2 FINANCIAL LLC

COTTONWOOD HEIGHTS, UT 84047

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CRD#: 7555542

Professional summary

Randy Lee Swartwood, who also goes by Randolph Lee Swartwood, is a registered financial advisor currently at M2 FINANCIAL LLC located in Cottonwood Heights, Utah.

Randy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Randy has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Randolph Lee Swartwood

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) GenWealth Advisory Group; Investment Related; 1218 E 7800 S Ste 200, Sandy, UT 84094; Advisor DBA Firm; Investment Advisor Representative/Insurance Producer; 04/2022; DBA used to offer financial advisory and insurance sales services. 2) Utah Life & Health Insurance Producer License; Insurance Sales; Independent Life/Health Insurance Agent; 08/2018; Approx. 12 hrs/mo; Approx. 12 hrs/mo during trading hours; Sale of Life, Health, and Medicare policies earning a commission on sales.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randy Lee Swartwood'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

November 27, 2023 - Present

M2 FINANCIAL LLC

Office #1: 7396 S Union Park Ave. Suite 301, Cottonwood Heights, UT 84047

RIA

CRD#: 327044

COTTONWOOD HEIGHTS, UT

Past

May 13, 2022 - November 27, 2023

TETON WEALTH GROUP LLC

RIA

CRD#: 311230

Sandy, UT

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

Utah
(11/27/2023)

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 65

Date: 4/16/2022

Uniform Investment Adviser Law Examination

Current Firm

M2 FINANCIAL LLC

M2 FINANCIAL | M2 FINANCIAL LLC | M2 FINANCIAL LIMITED LIABILITY COMPANY

CRD#: 327044 / SEC#:

Idaho

Registered Investment Advisory firm - (1/27/2025 Approved)

Texas

Registered Investment Advisory firm - (1/24/2025 Conditional Restricted)

Utah

Registered Investment Advisory firm - (11/27/2023 Approved)

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Contact information

Main Address

7396 S Union Park Ave. Suite 301, Cottonwood Heights, UT 84047

Mailing Address

Phone number

(801) 383-0333

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	786
AUM (Assets Under Management)	$ 61,272,935

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.

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Randy L. Swartwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randy Lee Swartwood's CRS (Customer Relationship Summary).

Certified licenses

Experience

M2 FINANCIAL LLC

TETON WEALTH GROUP LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/16/2022

Current Firm

M2 FINANCIAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

M2 FINANCIAL LLC

TRUST BUT VERIFY

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