Michael SwartoutCRD Number: 3182131
Current Firm: Plan Group Financial, Inc.
Michael Swartout (CRD# 3182131) is an Investment Advisor Representative working at Plan Group Financial, Inc. in Oklahoma City, OK and has over 18 years of experience in the finance industry.
Lpl Financial LLC
Mark I Asset Management, Ltd
Argent Institutional Services, LLC
|Plan Group Financial, Inc.||Oklahoma City, OK||Feb 2018 - Current||< 1|
|Signal Research Group LLC||Edmond, OK||Oct 2016 - Current||1|
|Lyft||Oklahoma City, OK||Sep 2016 - Current||1|
|Praxis Benefit Partners||Oklahoma City, OK||May 2016 - Current||1|
|Oneamerica Securities||Edmond, OK||Feb 2013 - Oct 2016||3|
|American United Life||Edmond, OK||Dec 2012 - May 2016||3|
|Proequities, Inc.||Oklahoma City, OK||Jun 2011 - Mar 2013||1|
|Investment Advisors||Oklahoma City, OK||Jun 2011 - Mar 2013||1|
|Met Life Securities Inc.||Oklahoma City, OK||Jan 2008 - May 2011||3|
|Metlife Securities Inc.||Oklahoma City, OK||May 2007 - May 2011||4|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 1999|
|S65||NASAA Investment Advisors Law Examination||Dec 2007|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
- Customer Dispute
Total Assets Under Management44MILLIONS
Total Number of Accounts562ACCOUNTS
Average Account Value$77,651
- A percentage of assets under your management
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
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