Joel Swaney

Employer firm

Td Private Client Wealth LLC CRD 164484

$8.57B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

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

Current Employers

Td Private Client Wealth Llc

1 Vanderbilt Avenue 23Rd Floor, New York, NY 10017 • United States

Current Registrations

Authority	Category	Status	Date
NV	RA	APPROVED	2026-05-21
OH	RA	APPROVED	2026-05-04
FL	RA	APPROVED	2025-01-01
MD	RA	APPROVED	2025-01-01
SC	RA	APPROVED	2025-01-01
VT	RA	APPROVED	2025-01-01
GA	RA	APPROVED	2023-05-04
MA	RA	APPROVED	2022-02-08
VA	RA	APPROVED	2022-01-31
NJ	RA	APPROVED	2022-01-20
CT	RA	APPROVED	2022-01-19
DE	RA	APPROVED	2022-01-19
ME	RA	APPROVED	2022-01-19
NH	RA	APPROVED	2022-01-19
NY	RA	APPROVED	2022-01-19
NC	RA	APPROVED	2022-01-19
PA	RA	APPROVED	2022-01-19
RI	RA	APPROVED	2022-01-19

NV RA
APPROVED

Since 2026-05-21
OH RA
APPROVED

Since 2026-05-04
FL RA
APPROVED

Since 2025-01-01
MD RA
APPROVED

Since 2025-01-01
SC RA
APPROVED

Since 2025-01-01
VT RA
APPROVED

Since 2025-01-01
GA RA
APPROVED

Since 2023-05-04
MA RA
APPROVED

Since 2022-02-08
VA RA
APPROVED

Since 2022-01-31
NJ RA
APPROVED

Since 2022-01-20
CT RA
APPROVED

Since 2022-01-19
DE RA
APPROVED

Since 2022-01-19
ME RA
APPROVED

Since 2022-01-19
NH RA
APPROVED

Since 2022-01-19
NY RA
APPROVED

Since 2022-01-19
NC RA
APPROVED

Since 2022-01-19
PA RA
APPROVED

Since 2022-01-19
RI RA
APPROVED

Since 2022-01-19

Branch Locations

200 Carolina Point Parkway 4Th Floor, Greenville, SC 29607 • United States

1919 Gallows Road 2Nd Floor, Vienna, VA 22182 • 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

Organization	City	State	From	To
Td Bank N.A.	Greenville	SC	09/2021	Present
Bank Of America	Greenville	SC	12/2010	09/2021
Td Private Client Wealth Llc	Greenville	SC	09/2021	Present

09/2021 → Present

Td Bank N.A.

Greenville, SC
12/2010 → 09/2021

Bank Of America

Greenville, SC
09/2021 → Present

Td Private Client Wealth Llc

Greenville, SC

Other Businesses

Co-owner of the podcast Cartoon Dumpster Dive. It's not investment-related and was started in May of 2020. I run it with my friend and we will get together weekly to discuss cartoons of the past. I spend 16 hours a month on this podcast outside of business hours. I edit the episodes and provide a history of each cartoon we discuss.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2025-12-15
S65	Uniform Investment Adviser Law Examination	2022-01-05

S63 Uniform Securities Agent State Law Examination

2025-12-15
S65 Uniform Investment Adviser Law Examination

2022-01-05

View on SEC IAPD