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Lucas Lee Swygard

James River Asset Management, LLC

Midlothian, VA

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Current Employers
James River Asset Management, Llc

15521 Midlothian Tnpk. Suite 100, Midlothian, VA 23113 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2026-03-16
NC RA APPROVED 2024-02-01
VA RA APPROVED 2024-01-31
  • MD RA
    APPROVED
    Since 2026-03-16
  • NC RA
    APPROVED
    Since 2024-02-01
  • VA RA
    APPROVED
    Since 2024-01-31

Branch Locations

15521 Midlothian Tnpk. Suite 100, Midlothian, VA 23113 • 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
James River Asset Management Midlothian VA 01/2021 03/2022
Virginia Commercial Finance Richmond VA 08/2016 01/2021
J.W. Cole Financial, Inc. Tampa FL 04/2021 03/2022
James River Wealth Advisors Midlothian VA 01/2021 03/2022
Financial Engines Advisors L.L.C. Santa Clara CA 04/2022 10/2023
James River Asset Management Llc Midlothian VA 11/2023 Present
  • 01/2021 → 03/2022
    James River Asset Management
    Midlothian, VA
  • 08/2016 → 01/2021
    Virginia Commercial Finance
    Richmond, VA
  • 04/2021 → 03/2022
    J.W. Cole Financial, Inc.
    Tampa, FL
  • 01/2021 → 03/2022
    James River Wealth Advisors
    Midlothian, VA
  • 04/2022 → 10/2023
    Financial Engines Advisors L.L.C.
    Santa Clara, CA
  • 11/2023 → Present
    James River Asset Management Llc
    Midlothian, VA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-03-15
S63 Uniform Securities Agent State Law Examination 2010-11-18
  • S66 Uniform Combined State Law Examination
    2021-03-15
  • S63 Uniform Securities Agent State Law Examination
    2010-11-18
Other Names
  • Luke Swygard

View on SEC IAPD

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EDWARD JONES
J. W. COLE ADVISORS, INC.
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Other Investors

RONALD BRUCE WEBSTER
EDWARD PETER GROSSO
Alice Martin Winters
JAYNE WAIDA DI VINCENZO
ANNE-DAY MCCABE
ROBERT EUGENE SCHINSKY
Hunter James Seay
JUSTIN REID MARTIN

Other Offices

STEWARD PARTNERS INVESTMENT ADVISORY, LLC · Midlothian, VA
KESTRA ADVISORY SERVICES, LLC · Midlothian, VA
AMERIPRISE FINANCIAL SERVICES, LLC · Midlothian, VA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Midlothian, VA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Midlothian, VA
EDWARD JONES · MIDLOTHIAN, VA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Midlothian, VA
J. W. COLE ADVISORS, INC. · Midlothian, VA

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