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CFP
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CFP

William Swartz

Sfg Wealth Management
30 Years of Experience
Towson, MD
BrokerSells Insurance
View SEC Summary
View SEC Summary

William Swartz is a CFP-designated registered investment advisor at Sfg Wealth Management, based in Towson, MD, with 30 years of industry experience. William is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Charitable Giving, Education Planning, Estate Planning, Financial Planning & Coaching, and 6 more. Their firm serves 1,184 clients with $760M in assets under management.

Sfg Wealth Management
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9 advisors
Number of Clients
1,184 clients
Average Client Portfolio
$642K average
Assets Under Management
$760.2M

Fee Structure

Planning is included in investment management (also available separately)

SFG Wealth Management offers portfolio management services where the annual fee will not exceed 1.50%. The fee is calculated based on the value of your account and is billed quarterly in advance. The fee will be adjusted for deposits and withdrawals made during the quarter.

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Location

1104 Kenilworth Drive, Suite 500, Towson, MD, 21204

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

William teaches Dave Ramsey courses, is an agent for non-variable insurance (life, health, disability, long-term care, fixed annuities), and a 50/50 partner in a real estate rental business. He also works full-time as an IAR for SFG Wealth Management LLC.

Employment History
Current Registrations
LPL Financial LLCBroker
November 2017 - Present · 8 yrs 11 mos
Sfg Wealth Management
November 2017 - Present · 8 yrs 11 mos
Previous Registrations
LPL Financial LLC
September 2018 - January 2021 · 2 yrs 4 mos
Transamerica Capital, INC.Broker
February 2010 - September 2017 · 7 yrs 7 mos
John Hancock Advisers, LLC
December 2008 - December 2009 · 1 yr
John Hancock Distributors LLCBroker
May 2005 - December 2009 · 4 yrs 7 mos
John Hancock Distributors LLC
April 2005 - December 2006 · 1 yr 8 mos
Essex National Securities, INC.
November 2003 - March 2006 · 2 yrs 4 mos
Essex National Securities, INC.Broker
June 1996 - March 2006 · 9 yrs 9 mos
First Union Brokerage Services, INC.Broker
November 1995 - May 1996 · 6 mos
First Fidelity Brokers, INC.Broker
July 1995 - November 1995 · 4 mos
F.N. Wolf & CO., INC.Broker
July 1993 - August 1993 · 1 mo
State Registrations18 states
ARAZCACOCTDEFLGAINMDNCNJPARISCTXVAWI
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.
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