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John Paul Schwan

SCHWAN FINANCIAL ADVISORS, LLC·ABERDEEN, South Dakota
SIE, Series 6, Series 63, Series 6523 years registeredSCHWAN FINANCIAL ADVISORS, LLC
320 - 6TH AVENUE SE, ABERDEEN, SD 57401CRD# 1421895Firm CRD# 127313

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
John Paul Schwan · ABERDEEN, SD
Registration
CRD #1421895 · SCHWAN FINANCIAL ADVISORS, LLC · 23 years registered
Brand Profile
Not yet started
01

Career History

SCHWAN FINANCIAL ADVISORS, LLC
May 2004 – present
LEGACY BUILDERS ADVISORS, LLC
Sep 2002 – May 2004
ABERDEEN, SD
02

Registrations & Exams

FINRA examinations passed
SIE
Series 6
Series 63
Series 65
Registration record
First registered · September 9, 2002
Years registered · 23
03

Disclosure History

2016Regulatory·Final
2016Regulatory·Final
2016Regulatory·Final
2010Employment Separation After Allegations
1985Regulatory·Final

5 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

04

Firm Overview

Firm
SCHWAN FINANCIAL ADVISORS, LLC
CRD 127313 · SEC 801-68527
AUM
$51M
Regulatory assets under management
Employees
11
386 client accounts
Services offered by SCHWAN FINANCIAL ADVISORS, LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Selection of other advisers
Publication of periodicals/newsletters
Security ratings or pricing services
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at SCHWAN FINANCIAL ADVISORS, LLC →
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05

Frequently Asked Questions

What services does John Paul Schwan offer?
John Paul Schwan specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in ABERDEEN, South Dakota for a consultation.
What are John Paul Schwan's credentials?
John Paul Schwan is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is John Paul Schwan located?
John Paul Schwan is based in ABERDEEN, South Dakota, working with SCHWAN FINANCIAL ADVISORS, LLC. Their office serves clients in the ABERDEEN metropolitan area and surrounding communities.
How does John Paul Schwan charge for services?
John Paul Schwan's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is SCHWAN FINANCIAL ADVISORS, LLC?
SCHWAN FINANCIAL ADVISORS, LLC has approximately 11 employees and manages $51M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at SCHWAN FINANCIAL ADVISORS, LLC

Michael Anthony Duch
ABERDEEN, SD
Sarathi Giridhar
ABERDEEN, SD
CFP

Browse by Specialty

Investment ManagementRetirement PlanningWealth ManagementFinancial PlanningFee-Only AdvisoryFinancial Education
Nearby cities in South Dakota
SIOUX FALLS (23)RAPID CITY (5)WATERTOWN (4)MITCHELL (3)BRANDON (0)BROOKINGS (0)
City Guides
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Research
Advisor Fees in South DakotaNational Fee Analysis
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