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John Swegles
43 Years of Experience
Boca Raton, FL
3 DisclosuresBrokerSells Insurance
John Swegles is a registered investment advisor at Nfsg Corporation, based in Boca Raton, FL, with 43 years of industry experience. John operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management. Their firm serves 3,096 clients with $1.1B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
73 advisors
Number of Clients
3,096 clients
Average Client Portfolio
$350K average
Assets Under Management
$1.1B
Fee Structure
Minimum Investment:$25K
Minimum Annual Fee:$250
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Fee is up to 2%.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location
1200 North Federal Highway, Suite 400, Boca Raton, FL, 33432
Get directionsHistory
Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
November 2023Customer Dispute
September 2008Award / Judgment
Customer Dispute
August 2000Denied
Other Business ActivitiesSells Insurance
John has been involved with John Swegles Insurance in Michigan since 1982.
Employment History
Current Registrations
Nfsg Corporation
May 2024 - Present · 2 yrs 2 mos
Newbridge Securities Corporation
May 2024 - Present · 2 yrs 2 mos
Newbridge Securities CorporationBroker
May 2024 - Present · 2 yrs 2 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
March 2016 - December 2023 · 7 yrs 9 mos
Wells Fargo Clearing Services, LLCBroker
February 2016 - December 2023 · 7 yrs 10 mos
Morgan Stanley
June 2009 - March 2016 · 6 yrs 9 mos
Morgan StanleyBroker
June 2009 - March 2016 · 6 yrs 9 mos
Morgan Stanley & CO. Incorporated
March 2008 - June 2009 · 1 yr 3 mos
Morgan Stanley & CO. IncorporatedBroker
February 2008 - June 2009 · 1 yr 4 mos
UBS Financial Services INC.Broker
August 2001 - March 2008 · 6 yrs 7 mos
Raymond James & Associates, INC.Broker
June 1998 - September 2001 · 3 yrs 3 mos
Roney & CO.Broker
May 1998 - September 1999 · 1 yr 4 mos
Roney & CO. L.L.C.Broker
May 1987 - May 1998 · 11 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 1984 - May 1987 · 2 yrs 10 mos
E. F. Hutton & Company INCBroker
August 1983 - July 1984 · 11 mos
Ids Life Insurance CompanyBroker
March 1982 - August 1983 · 1 yr 5 mos
Ids Marketing CorporationBroker
March 1982 - August 1983 · 1 yr 5 mos
Investors Diversified Services, INC.Broker
March 1982 - August 1983 · 1 yr 5 mos
State Registrations2 states
IDMI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.