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Donald Allen Swain

Professional Financial Management, Inc.

Appleton, WI

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Current Employers
Professional Financial Management, Inc.

W6184 Aerotech Drive Suite A, Appleton, WI 54914 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-07-23
WI RA APPROVED 2010-06-29
  • TX RA
    APPROVED
    Since 2021-07-23
  • WI RA
    APPROVED
    Since 2010-06-29

Branch Locations

W6184 Aerotech Drive Suite A, Appleton, WI 54914 • 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
Professional Financial Management Inc Appleton WI 06/2010 Present
Previous Registrations
Other Businesses

33.3% member of Algo Properties LLC, a limited liability company, which owns real estate

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2010-01-15
S65 Uniform Investment Adviser Law Examination 2009-01-16
  • S63 Uniform Securities Agent State Law Examination
    2010-01-15
  • S65 Uniform Investment Adviser Law Examination
    2009-01-16
Designations

View on SEC IAPD

Other Firms

MORGAN STANLEY
PRIVATE CLIENT SERVICES, LLC
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
KAMKO FINANCIAL
ASC 401(K) MANAGEMENT
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CREATIVEONE SECURITIES, LLC
OSAIC WEALTH, INC.

Other Investors

BRANDY LYNN DEBROUX
LEIGH ANN THERN
Matthew C Bush
JOSEPH MICHAEL MILLER
JANE M VANDE VOORT
MITCHELL JOSEPH OLDEWURTEL
SHANA LYNN KEIL
SHARON IFRACH

Other Offices

MORGAN STANLEY · APPLETON, WI
PRIVATE CLIENT SERVICES, LLC · Appleton, WI
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · APPLETON, WI
KAMKO FINANCIAL · APPLETON, WI
ASC 401(K) MANAGEMENT · APPLETON, WI
STIFEL, NICOLAUS & COMPANY, INCORPORATED · APPLETON, WI
CREATIVEONE SECURITIES, LLC · Appleton, WI
OSAIC WEALTH, INC. · APPLETON, WI

More in Appleton, WI

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