Robert Franklin Swartzbaugh

Employer firm

M Holdings Securities, Inc. CRD 43285

$3.21B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

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

Current Employers

Employment History

• 03/2001 → Present
  M Holdings Securities, Inc.
  Portland, OR
• 11/1993 → Present
  Swartzbaugh-Farber & Associates, Inc.
  Omaha , NE

Other Businesses

1) Swartzbaugh-Farber & Associates, Inc.; 9140 West Dodge Road, Suite 418, Omaha, NE 68114; 11/01/1993; President/CEO; Insurance and Investment Advisory Services, Company Oversight; Investment Related; 150 hours/month; 150 hours/month during business hours; Ownership, Expense Reimbursement, Wages/Salary. 2) Tomlinson Woods Board; Omaha, NE; Not investment related; HOA Board Member; Help govern the community, answer emails, give opinions, serve as a neighbor historian; 1983; 20 ho/mo; 5 ho/mo during trading hours.

Exams

• S63 Uniform Securities Agent State Law Examination
  2001-07-31

Designations

• Chartered Financial Consultant

Other Names

• Bob Swartz