Thomas Leslie Sherwood

Employer firm

Swbc Investment Company CRD 140994

$256M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 12/2005 → 01/2026
  Advisors Asset Management, Inc
  San Antonio, TX
• 01/2026 → Present
  Swbc Investment Services, Llc
  San Antonio, TX
• 01/2026 → Present
  Swbc Investment Company
  San Antonio, TX

Previous Registrations

• 2006-04-12 → 2026-01-08
  Advisors Asset Management, Inc.
  Boerne, TX
• 1999-01-20 → 2002-08-09
  Keybanc Capital Markets Inc.
  Mishawaka, IN

Other Businesses

Investment Advisor Representative of affiliated RIA - SWBC Investment Company

Exams

• S66 Uniform Combined State Law Examination
  2006-03-16
• S65 Uniform Investment Adviser Law Examination
  2001-06-07
• S63 Uniform Securities Agent State Law Examination
  1987-02-03

Other Names

• Tom Sherwood