Joseph Patrick Swope
Professional Summary
Joseph Patrick Swope, who also goes by Joe Swope, Joey Swope, is a registered financial advisor currently at HANTZ FINANCIAL SERVICES, INC. located in Midland, Michigan. Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Joseph has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Joe Swope, Joey Swope
Similar Advisors
THE WEALTH CONSULTING GROUP
J.P. MORGAN SECURITIES LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOFA SECURITIES, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
THE WEALTH CONSULTING GROUP
J.P. MORGAN SECURITIES LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOFA SECURITIES, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
THE WEALTH CONSULTING GROUP
J.P. MORGAN SECURITIES LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOFA SECURITIES, INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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
THE WEALTH CONSULTING GROUP
J.P. MORGAN SECURITIES LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOFA SECURITIES, INC.
Years of Experience
3 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
THE WEALTH CONSULTING GROUP
J.P. MORGAN SECURITIES LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOFA SECURITIES, INC.
Current Firm
HANTZ FINANCIAL SERVICES, INC.
Contact Information
Main Address
26200 American Drive Fifth Floor, Southfield, MI 48034Mailing Address
26200 American Drive Fifth Floor, Southfield, MI 48034Phone Number
(248) 304-2855Established
Michigan since 06/19/1998Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
435SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HANTZ GROUP, INC. | PARENT COMPANY | — |
| ARNOLD, DAVID JOSEPH | SENIOR VP | 6738208 |
| BEEBE, JOHN FREDERICK | SENIOR VP | 4151293 |
| ESCOBEDO, SAMANTHA TRACY | SENIOR VP | 6554885 |
| HANTZ, JOHN RUSSELL | DIRECTOR | 1462066 |
| HANTZ, KIMBERLY DIANE | DIRECTOR | 5109009 |
| HANTZ, LAUREN CHRISTINE | DIRECTOR | 6737867 |
| MACHCINSKI, JOHN FRANCIS | PRESIDENT/SECRETARY/CHIEF COMPLIANCE OFFICER | 853028 |
| MCALEAR, THOMAS CRAIG | DIRECTOR | 7517087 |
| MCCLAIN, ROBERT MATTHEW | SENIOR VP | 4768883 |
| NATALE, ANTONIO ANDRE | VICE PRESIDENT OF ASSET MANAGEMENT | 4268947 |
| RACINE, JAMIE MILLER | SENIOR VP | 4585375 |
| REID, MICHAEL ORAS | SENIOR VP | 1923539 |
| SHEA, DAVID JOSEPH | DIRECTOR | 5109005 |
| SOPER, JEFFERY HAROLD | SENIOR VP | 2205971 |
| STEVENS, DANIEL JOSEPH | SENIOR VP | 5868523 |
| YAROCH, RENEE ANN | VP/CFO/FINOP/PRINCIPAL OPERATIONS OFFICER | 2040518 |
Regulatory Assets Under Management
Total Number of Accounts
121,451AUM (Assets Under Management)
$10,000,548,132Disclosures
Regulatory Event
4Arbitration
2Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/13/2023 | Cover Page | Report |
Similar Advisors
THE WEALTH CONSULTING GROUP
J.P. MORGAN SECURITIES LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOFA SECURITIES, INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
THE WEALTH CONSULTING GROUP
J.P. MORGAN SECURITIES LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOFA SECURITIES, INC.
Primary Firm SEC Registration
HANTZ FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
(1/5/2024)
(10/26/2026)
(10/25/2023)
(10/25/2023)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
THE WEALTH CONSULTING GROUP
J.P. MORGAN SECURITIES LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOFA SECURITIES, INC.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Patrick Swope's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Patrick Swope's CRS (Customer Relationship Summary).
Similar Advisors
THE WEALTH CONSULTING GROUP
J.P. MORGAN SECURITIES LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOFA SECURITIES, INC.