Nicholas Allen Swigart

Employer firm

Stratos Wealth Partners, Ltd CRD 153184

$18.6B regulatory AUM 376 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

• 09/2004 → Present
  Swigart-Braunscheidel Insurance Agency
  Wooster, OH
• 02/2012 → Present
  Lpl Financial Llc
  Wooster, OH
• 02/2012 → Present
  Stratos Wealth Partners, Ltd
  Wooster, OH

Previous Registrations

• 2000-02-28 → 2011-12-20
  Securian Financial Services, Inc.
  Wooster, OH
  Wooster, OH

Other Businesses

1. 2/3/2012: SWIGART-BRAUNSCHEIDEL - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Time Spent 50% - INSURANCE AGENCY. SELLING AND SERVICING LIFE AND HEALTH INSURANCE FOR THE AGENCY CLIENTS. 2. 2/3/2012: LPL Financial, LLC (Registered Representative) - Investment Related - At Reported Business Location (s) - 100% time spent between LPL Financial, LLC and Stratos Wealth Partners, Ltd. 3. 2/13/2012: No Business Name - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - CO-OWN 40% OF A PROPERTY/CASUALTY INSURANCE AGENCY. RESPONSIBILITIES INCLUDE SELLING AND SERVICING LIFE AND HEALTH INSURANCE. 4. 2/21/2012: STRATOS WEALTH PARTNERS, INC. - Investment Related - At Reported Business Location(s) - REGISTERED INVESTMENT ADVISOR - Time Spent 80% - (HYBRID) - ADMIN - STRATOS WEALTH PARTNERS, LTD IS THE RIA WHICH THE ADVISOR I WORK FOR OFFERS FEE BASED FINANCIAL PLANNING AND INVESTMENT ADVISORY SERVICES. 5. 9/25/2013: STRATOS WEALTH PARTNERS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 6. 11/01/2016: Apple Creek Investment Services - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start 11/15/2016 - 60 Hr/Mo; 40 Hour(s) During Securities Trading. 7. 6/12/2017 - Boreman, Norton, Cook Wealth Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start 06/12/2017 - 160 Hours Per Month During Securities Trading. 8. 6/26/2017 - Boreman, Norton, Cook Wealth Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Licensed Admin - Started 06/12/2017 - 160 Hours Per Month During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-10-02
• S63 Uniform Securities Agent State Law Examination
  1997-07-25

Other Names

• Nicholas Allen Swigart