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AS
ChFC
AS
ChFC

Andrew James Swartwout

Silver Grove Advisory Services
30 Years of Experience
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary
Areas of Practice
Investment ManagementRetirement PlanningEstate PlanningFinancial Planning & CoachingHigh Net WorthBusiness Owners
Silver Grove Advisory Services
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
16 advisors
Number of Clients
1,930 clients
Average Client Portfolio
$169K average
Assets Under Management
$326.6M

Fee Structure

Location

400 Sterling Drive, Orchard Park, NY, 14127

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History

Regulatory History (1)
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Customer Dispute
January 2004
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Andrew operates Swartwout Financial Management as a DBA for his LPL business and provides investment advisory services through Silver Grove Financial Group, Inc., dedicating nearly full-time hours to these activities. He also serves as an agent for non-variable insurance through Specific Solutions, spending a few hours per week on this.

Employment History
Current Registrations
Silver Grove Advisory Services
August 2021 - Present · 4 yrs 6 mos
LPL Financial LLC
November 2017 - Present · 8 yrs 3 mos
LPL Financial LLCBroker
November 2017 - Present · 8 yrs 3 mos
Previous Registrations
M&t Securities, INC.
January 2017 - November 2017 · 10 mos
M&t Securities, INC.Broker
August 1996 - November 2017 · 21 yrs 3 mos
Princor Financial Services CorporationBroker
May 1995 - July 1996 · 1 yr 2 mos
L.C. Wegard & CO., INC.Broker
May 1994 - October 1994 · 5 mos
State Registrations4 states
AZNYPAVA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Andrew James Swartwout - Financial Advisor | TrueAdvisor