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125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2025-02-05 |
Branch Locations
125 Froehlich Farm Blvd., Woodbury, NY 11797 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Swadley Investment Management, Llc | Auburn | WA | 11/2018 | 06/2019 |
| Stephen Ellis Swadley Dba Swadley Investment Management | Auburn | WA | 02/2011 | 11/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Federal Way | WA | 06/2019 | 11/2023 |
| Bank Of America, N.A. | Federal Way | WA | 08/2019 | 11/2023 |
| Red Canoe Credit Union | Auburn | WA | 03/2024 | 07/2024 |
| Lpl Financial Llc | Auburn | WA | 03/2024 | 07/2024 |
| Ny Life | Tacoma | WA | 01/2024 | 03/2024 |
| Vanderbilt Advisory Services | Woodbury | NY | 02/2025 | Present |
| Unemployed | Enumclaw | WA | 07/2024 | 01/2025 |
Swadley Wealth Management - Investment related. Start date: 04/16/2026. Address: 2064 Douglas Fir Ave, Enumclaw, WA. Title: Principle Owner/CIO. Duties: Administration, sales and marketing, client service, portfolio management. Time spent during regular hours: 100%
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2019-10-08 |
| S66 | Uniform Combined State Law Examination | 2000-09-13 |
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