Stuart Mitchell Swan

Employer firm

Sowell Management CRD 127145

$4.81B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers

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

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

Current Employers

Employment History

• 06/2001 → 05/2017
  Usmc, Reserves
  New Orleans, LA
• 07/2015 → 12/2016
  Concert Wealth Management, Inc.
  San Jose, CA
• 09/2016 → 06/2021
  Sowell Management
  North Little Rock, AR
• 07/2015 → 06/2021
  Sapphire Wealth Management, Llc
  Watkinsville, GA
• 07/2021 → 05/2022
  Candidacy For U.S. House Georgia's 10Th Congressional Dist.
  Athens, GA
• 10/2022 → Present
  Sapphire Wealth Management, Llc
  Watkinsville, GA
• 10/2022 → Present
  Sowell Management
  North Little Rock, AR
• 06/2022 → 10/2022
  Unemployed
  Watkinsville, GA

Previous Registrations

• 2016-09-21 → 2021-07-29
  Sowell Management
  Watkinsville, GA
  North Little Rock, AR
• 2015-08-06 → 2016-12-27
  Concert Wealth Management
  Watkinsville, GA
  San Jose, CA
• 2007-12-05 → 2009-01-02
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Athens, GA
  Athens, GA

Other Businesses

1) Sapphire Wealth Management, LLC; investment related; 1020 Barber Creek Dr. Ste 324, Watkinsville, GA 30677; financial and investment management; investment advisor; 07/2015; approx 160 hrs/mo during trading hours; DBA used to market advisory services under registration with Sowell Management.

Exams

• S65 Uniform Investment Adviser Law Examination
  2015-07-29
• S63 Uniform Securities Agent State Law Examination
  1999-04-21

Other Names

• Mitch Swan