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Philip Lawton Swann

Well-Planned Financial LLC

Staunton, VA

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Current Employers
Well-Planned Financial Llc

500 Commerce Road, Staunton, VA 24401 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2019-07-29
  • VA RA
    APPROVED
    Since 2019-07-29

Branch Locations

500 Commerce Road, Staunton, VA 24401 • 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
Swann Construction, Inc. Staunton VA 04/1985 06/2017
The Henderson Group Staunton VA 04/2016 10/2018
Cetera Advisor Networks El Segundo CA 10/2018 04/2019
Providence Asset Management, Llc Charlottsville VA 10/2018 04/2019
Well-Planned Financial Llc Staunton VA 05/2019 Present
  • 04/1985 → 06/2017
    Swann Construction, Inc.
    Staunton, VA
  • 04/2016 → 10/2018
    The Henderson Group
    Staunton, VA
  • 10/2018 → 04/2019
    Cetera Advisor Networks
    El Segundo, CA
  • 10/2018 → 04/2019
    Providence Asset Management, Llc
    Charlottsville, VA
  • 05/2019 → Present
    Well-Planned Financial Llc
    Staunton, VA
Previous Registrations
  • 2019-02-05 → 2019-04-12
    Cetera Wealth Services, Llc
    Charlottesville, VA
  • 2016-04-18 → 2018-11-09
    The Henderson Group
    Staunton, VA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2019-02-04
S65 Uniform Investment Adviser Law Examination 2015-05-01
  • S63 Uniform Securities Agent State Law Examination
    2019-02-04
  • S65 Uniform Investment Adviser Law Examination
    2015-05-01

View on SEC IAPD

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