William Robert Swartz

Current Employers

Employment History

• 01/2010 → 09/2017
  Transamerica Capital Inc
  Denver, CO
• 11/2017 → Present
  Lpl Financial, Llc
  Towson, MD
• 11/2017 → Present
  Sfg Wealth Management, Llc(Formerly:SYnergy Financial Group,Llc)
  Towson, MD

Previous Registrations

• 2008-12-09 → 2009-12-15
  John Hancock Investment Management Llc
  Severna Park, MD
  Boston, MA
• 2005-04-14 → 2006-12-31
  John Hancock Distributors Llc
  Severna Park, MD
  New York, NY
  Boston, MA
• 2003-11-12 → 2006-03-07
  Essex National Securities, Llc
  Napa, CA

Other Businesses

1. 11/2/17- Dave Ramsey- Teaching-Severna Park, MD- start date 9/8/17 - 1% 2. 01/11/2018 - Crump - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date 12/13/2017 - 5 Hours Per Month/5 Hours During Securities Trading - Life, Health, Disability, Long-term Care, Fixed Annuities. 3. 11/20/2018 - Swartz Enterprises LLC - Investment Related - Nelsonia, New Church, Temperanceville & Horntown, VA - Real Estate Rental - Started 09/03/2004 - 1 Hours Per Month/0 Hours During Securities Trading - 50/50 partner with brother. 4. 2/28/2020 - SFG Wealth Management - DBA: SFG Wealth Management LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/01/2020 - 160 Hours Per Month/160 Hours During Securities Trading. 5. 3/2/2020 - SFG Wealth Management LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 03/01/2020 - 160 Hours Per Month/160 Hours During Securities Trading - I provide investment advisory services through SFG Wealth Management LLC, an independent investment advisor firm. I started this business activity in 03/2020. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6. 3/12/2020 - SFG Wealth Management, LLC - DBA: (Hybrid) SFG Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 03/01/2020 - 160 Hours Per Month/160 Hours During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-01-06
• S63 Uniform Securities Agent State Law Examination
  1993-07-09

Designations