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Pensacola, FL • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-02-01 |
| AL | RA | APPROVED | 2020-10-15 |
| FL | RA | APPROVED | 2019-12-06 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Swan Capital, Llc | Pensacola | FL | 02/2012 | Present |
| Ae Wealth Management | Topeka | KS | 06/2016 | 10/2020 |
| Swan Capital, Llc | Pensicola | FL | 09/2019 | Present |
1) SWAN CAPITAL 107 GREGORY ST PENSACOLA FL INVESTMENT RELATED SALE OF LIFE INSURANCE AND ANNUITIES 11/2011-PRESENT 120 HOURS PER MONTH 120 HOURS DURING TRADING HOURS POSITION: CEO ---- 2) ADJUNCT PROFESSOR PENSACOLA STATE COLLEGE 1000 COLLEGE BLVD PENSACOLA FL NON-INVESTMENT RELATED TEACH COURSE ON LONG TERM CARE 1/2015-PRESENT 4 HOURS PER MONTH 0 DURING TRADING HOURS ----- 3) SWAN DIVORCE WEALTH STRATEGIES 107 GREGORY ST PENSACOLA FL INVESTMENT RELATED DIVORCE FINANCIAL ADVISING, PENSION VALUATIONS AND FACILITATING QDRO'S 11/2015-PRESENT 10 HOURS PER MONTH 8 HOURS DURING TRADING HOURS ---- 4) AUTHOR 107 GREGORY ST PENSACOLA FL NON-INVESTMENT RELATED WRITING AND SELLING BOOKS 2/2011-PRESENT 2 HOURS PER MONTH 0 HOURS DURING TRADING HOURS ---- 5) the name of the other business: McNair & Sulvap, LLC; whether the business is investment-related: No; the address of the other business: 107 W Gregory St Pensacola FL; the nature of the other business: Real Estate; your position: Manager; title, or relationship with the other business: - Owner and Manager; the start date of your relationship: 06/2017; the approximate number of hours/month you devote to the other business: 3; the number of hours you devote to the other business during securities trading hours: 1; and briefly describe your duties relating to the other business: Working with property management; ---- 6) the name of the other business: Swan Lake, LLC; whether the business is investment-related: No; the address of the other business: 107 W Gregory St Pensacola FL; the nature of the other business: Real Estate; your position: Manager; title, or relationship with the other business: - Owner and Manager; the start date of your relationship: 01/2020; the approximate number of hours/month you devote to the other business: 3; the number of hours you devote to the other business during securities trading hours: 1; and briefly describe your duties relating to the other business: Working with property management; ---- 7) the name of the other business: Luck 16:11, LLC; whether the business is investment-related: No; the address of the other business: 107 W Gregory St Pensacola FL; the nature of the other business: Real Estate; your position: Manager; title, or relationship with the other business: - Owner and Manager; the start date of your relationship: 01/2016; the approximate number of hours/month you devote to the other business: 3; the number of hours you devote to the other business during securities trading hours: 1; and briefly describe your duties relating to the other business: Working with property management.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-03-25 |
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