Andrew James Swartwout

Employer firm

Silver Grove Advisory Services CRD 287512

$454M regulatory AUM 20 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• RETIREMENT PLAN CONSULTING SERVICES

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/1994 → 11/2017
  Principal Mutual Life Insurance Co.
  Des Moines, IA
• 08/1996 → 11/2017
  M&T Securities, Inc.
  Buffalo, NY
• 11/2017 → Present
  Lpl Financial, Llc
  Arcade, NY
• 11/2017 → Present
  Silver Grove Advisory Services
  Arcade, NY
• 01/2017 → 11/2017
  M&T Securities, Inc.
  Buffalo, NY

Previous Registrations

• 2017-01-23 → 2017-11-27
  M&T Securities, Inc.
  Buffalo, NY
  Arcade, NY
  Delevan, NY
  Ellicottville, NY
  Rushford, NY
  Springville, NY
  Olean, NY
  Fredonia, NY
  Silver Creek, NY
  Dunkirk, NY
  Mayville, NY
  Mayville, NY
  Ellicottville, NY
  Dunkirk, NY
  Arcade, NY
  Fredonia, NY
  Rushford, NY
  Delevan, NY
  Jamestown, NY
  Falconer, NY
  Lakewood, NY
  Bemus Point, NY
  Cheektowaga, NY
  Arcade, NY
  Ellicottville, NY
  Fredonia, NY
  Springville, NY
  Silver Creek, NY
  Olean, NY
  Mayville, NY

Other Businesses

1) 11/10/2017 - Swartwout Financial Management - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 11/2017 - 160 hr/mth 2) 11/10/2017 - Notary Public - state of NY - non-inv rel - start: 09/1996 3) 11/10/2017 - Real Estate Rental - joint owner with spouse - Olean, NY - inv rel - start: 03/2017 - 1 hr/mth Silvergrove Financial Group, Compliance Delegate, $3,600 per year. Notary Public Rental Income Property (1) $6,600 per year Obi Community Church, Leadership Team. No salary, nor client. 4) 01/08/2018 - Silver Grove Financial Group, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 11/10/2017 - 160 Hours Per Month/40 Hours During Securities Trading - Time Spent 75% - I provide investment advisory services through Silver Grove Financial Group, Inc., an independent investment advisor firm. I started this business activity on 11/10/2017. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firms 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. 5) 01/08/2018 - Silver Grove Financial Group, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date 11/10/2017 - 160 Hours Per Month/40 Hours During Securities Trading - Time Spent 100% - IAR. 6) 02/02/2023 - Specific Solutions - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 07/01/2022 - 5 Hours Per month/5 Hours During Securities Trading.

Exams

• S63 Uniform Securities Agent State Law Examination
  1994-05-17

Designations

• Chartered Financial Consultant