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Dolores Fernandez Wheless

Swan Global Investments, LLC

Dallas, TX

Durango, CO

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Current Employers
Swan Global Investments, Llc

1099 Main Ave Suite 206, Durango, CO 81301 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2025-01-01
TX RA APPROVED 2018-02-09
  • CO RA
    APPROVED
    Since 2025-01-01
  • TX RA
    APPROVED
    Since 2018-02-09

Branch Locations

8117 Preston Road Suite 300, Dallas, TX 75225 • United States

1099 Main Ave Suite 206, Durango, CO 81301 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Broadway Bank San Antonio TX 07/2012 07/2017
Unemployed Dallas TX 07/2017 11/2017
Self-Employed Consultant Dallas TX 11/2017 01/2018
  • 07/2012 → 07/2017
    Broadway Bank
    San Antonio, TX
  • 07/2017 → 11/2017
    Unemployed
    Dallas, TX
  • 11/2017 → 01/2018
    Self-Employed Consultant
    Dallas, TX
Previous Registrations
  • 2010-05-24 → 2012-11-06
    Covenant
    San Antonio, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-05-21
  • S65 Uniform Investment Adviser Law Examination
    2010-05-21
Designations
Other Names
  • Dolores M. Fernandez

View on SEC IAPD

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