Unclaimed Profile

John William Swaine

SECOND HALF FINANCIAL PARTNERS, LLC·SEBRING, Florida

SIE, Series 7, Series 9, Series 10, Series 63, Series 6522 years registeredSECOND HALF FINANCIAL PARTNERS, LLC

145 WEST CENTER AVENUE, SEBRING, FL 33870CRD# 4072112Firm CRD# 163454

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

John William Swaine · SEBRING, FL

Registration

CRD #4072112 · SECOND HALF FINANCIAL PARTNERS, LLC · 22 years registered

Brand Profile

Not yet started

Career History

SECOND HALF FINANCIAL PARTNERS, LLC

Oct 2012 – present

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Oct 2009 – Apr 2017

SEBRING, FL

MORGAN STANLEY SMITH BARNEY LLC

Jun 2009 – Oct 2009

SEBRING, FL

CITIGROUP GLOBAL MARKETS INC.

Feb 2004 – Jun 2009

SEBRING, FL

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 9

Series 10

Series 63

Series 65

Registration record

First registered · February 11, 2004

Years registered · 22

Disclosure History

2019Regulatory·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

Firm Overview

Firm

SECOND HALF FINANCIAL PARTNERS, LLC

CRD 163454 · SEC 801-113533

AUM

$284M

Regulatory assets under management

Employees

1,492 client accounts

Services offered by SECOND HALF FINANCIAL PARTNERS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Market timing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at SECOND HALF FINANCIAL PARTNERS, LLC →

Introduction

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Frequently Asked Questions

What services does John William Swaine offer?

John William Swaine specializes in Financial Planning, Investment Management. Contact their office in SEBRING, Florida for a consultation.

What are John William Swaine's credentials?

John William Swaine is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is John William Swaine located?

John William Swaine is based in SEBRING, Florida, working with SECOND HALF FINANCIAL PARTNERS, LLC. Their office serves clients in the SEBRING metropolitan area and surrounding communities.

How does John William Swaine charge for services?

John William Swaine's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SECOND HALF FINANCIAL PARTNERS, LLC?

SECOND HALF FINANCIAL PARTNERS, LLC has approximately 9 employees and manages $284M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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