Michael D Swain

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2003 → Present
  Raymond James Financial Services
  Memphis, TN
• 01/2009 → Present
  Raymond James Financial Services Advisors, Inc
  Memphis, TN
• 05/2012 → 02/2021
  Ellendale Lodge Inc.
  Bartlett, TN
• 09/2012 → Present
  Swain Wealth Partners
  Memphis, TN

Other Businesses

(1) Name of Business: * Eddie and Joy Swain Address: 6075 Poplar Ave, Memphis, TN, 38119, United States Activity Type: Control Person Position/Title: Trustee (Acting), Power of Attorney (Named Only) Investment Related: Yes Start Date: 09/14/2022 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: . (2) Name of Business: NA Address: 6375 Poplar Ave Suite 335, Memphis, TN, 38119, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 10/31/2010 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 2-10 Description of duties: agent (3) Name of Business: Swain Address: 6075 Poplar Ave Ste 335, Memphis, TN, 38119-0109, United States Activity Type: Control Person Position/Title: Trustee (Acting) Investment Related: Yes Start Date: 08/02/2026 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Distribute trust Assets to Beneficiaries (4) Name of Business: Swain Wealth Partners Address: 6075 Poplar Ave Suite 335, Memphis, TN, 38137, United States Activity Type: Support Company - Owner Position/Title: Independent Contractor Investment Related: No Start Date: 08/31/2012 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 0-1 Description of duties: client service and asset management. (5) Name of Business: Swain Wealth Partners Address: 6075 Poplar Ave Suite 335, Memphis, TN, 38119, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 08/07/2005 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 2-10 Description of duties: NOT REQUIRED AT TIME OF SUBMISSION

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-12-26
• S63 Uniform Securities Agent State Law Examination
  1988-10-31

Designations

• Certified Financial Planner