Jonathan David Swerdloff

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2022-10-13
MD	RA	APPROVED	2022-10-11

TX RA
APPROVED_RES

Since 2022-10-13
MD RA
APPROVED

Since 2022-10-11

Branch Locations

Davidsonville, MD • 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
Jonathan D. Sweraloff, Cpa	Mitchelville	MD	01/1991	Present
Avantax Investment Services, Inc.	Davidsonville	MD	09/1992	10/2022
Jonathan D. Swerdloff, Pa	Davidsonville	MD	01/1996	Present
Lpl Financial Llc	Davidsonville	MD	10/2022	Present

01/1991 → Present

Jonathan D. Sweraloff, Cpa

Mitchelville, MD
09/1992 → 10/2022

Avantax Investment Services, Inc.

Davidsonville, MD
01/1996 → Present

Jonathan D. Swerdloff, Pa

Davidsonville, MD
10/2022 → Present

Lpl Financial Llc

Davidsonville, MD

Previous Registrations

2018-01-02 → 2022-10-12

Avantax Advisory Services

Davidsonville, MD

Other Businesses

1) 9/2022- Jonathan Swerdloff, PA- DBA for LPL Business (entity for LPL business)- inv. related- Davidsonville, MD 2) 9/2022- Jonathan Swerdloff, PA- Tax Prep/Accounting/CPA- inv. related- 840 Kings Retreat Drive, Davidsonville, MD 21035- start date 4/1/1991- 160hra/mth

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-11-15
S63	Uniform Securities Agent State Law Examination	2006-04-27

S65 Uniform Investment Adviser Law Examination

2017-11-15
S63 Uniform Securities Agent State Law Examination

2006-04-27

View on SEC IAPD