Inactive

Nathan Michael Swab

Alexander Financial Planning, Inc.

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Current Employers

Alexander Financial Planning, Inc.

3600 Olentangy River Road Suite C2, Columbus, OH 43214 • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2022-12-07

OH RA
APPROVED

Since 2022-12-07

Branch Locations

3600 Olentangy River Road Suite C2, Columbus, OH 43214 • 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
U.S. Bancorp Investments, Inc.	Worthington	OH	01/2014	11/2018
Raymond James Financial Services, Inc.	Dublin	OH	11/2018	02/2020
Raymond James Financial Services Advisors Inc.	Dublin	OH	11/2018	02/2020
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	03/2020	09/2022
Alexander Financial Planning Services	Columbus	OH	09/2022	Present

01/2014 → 11/2018

U.S. Bancorp Investments, Inc.

Worthington, OH
11/2018 → 02/2020

Raymond James Financial Services, Inc.

Dublin, OH
11/2018 → 02/2020

Raymond James Financial Services Advisors Inc.

Dublin, OH
03/2020 → 09/2022

Cambridge Investment Research Advisors, Inc.

Fairfield, IA
09/2022 → Present

Alexander Financial Planning Services

Columbus, OH

Previous Registrations

2020-03-16 → 2022-09-28

Cambridge Investment Research Advisors, Inc.

Lancaster, OH

Carroll, OH
2018-11-13 → 2020-03-02

Raymond James Financial Services Advisors, Inc

Dublin, OH
2015-01-05 → 2018-11-08

U.S. Bancorp Investments, Inc.

Columbus, OH

Columbus, OH

Worthington, OH

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2014-12-23
S63	Uniform Securities Agent State Law Examination	2010-10-23

S65 Uniform Investment Adviser Law Examination

2014-12-23
S63 Uniform Securities Agent State Law Examination

2010-10-23

Designations

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EDELMAN FINANCIAL ENGINES

ACCOLADE ASSET/LIABILITY ADVISORY SERVICES

SIGNATURE EQUITY PARTNERS, LLC

STRATEGIC ADVISERS LLC

PARK AVENUE SECURITIES LLC

W&S BROKERAGE SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

Other Investors

CARL DAVID WEISE

BEVERLY ANN RESSLER

HEATHER LYNN WITTEN

BRIAN ALOYSIUS CARRETTA

Alan Robert Beymer

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · COLUMBUS, OH

EDELMAN FINANCIAL ENGINES · COLUMBUS, OH

ACCOLADE ASSET/LIABILITY ADVISORY SERVICES · COLUMBUS, OH

SIGNATURE EQUITY PARTNERS, LLC · Columbus, OH

STRATEGIC ADVISERS LLC · COLUMBUS, OH

PARK AVENUE SECURITIES LLC · COLUMBUS, OH

W&S BROKERAGE SERVICES, INC. · Columbus, OH

AMERIPRISE FINANCIAL SERVICES, LLC · COLUMBUS, OH

More in Columbus, OH

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