Unclaimed Profile

Michael Francis Swallow

WELLINGS CAPITAL MANAGEMENT, LLC·LYNCHBURG, Virginia

SIE, Series 7, Series 24, Series 27, Series 52TO, Series 53, Series 57, Series 66, Series 99TOClean record20 years registeredWELLINGS CAPITAL MANAGEMENT, LLC

114 TRADEWYND DRIVE, LYNCHBURG, VA 24502CRD# 3241109Firm CRD# 316324

Profile Verification

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

Identity

Michael Francis Swallow · LYNCHBURG, VA

Registration

CRD #3241109 · WELLINGS CAPITAL MANAGEMENT, LLC · 20 years registered

Brand Profile

Not yet started

Career History

TRUIST ADVISORY SERVICES, INC.

Mar 2023 – present

TRUIST INVESTMENT SERVICES, INC.

Mar 2023 – present

LEVY WEALTH MANAGEMENT GROUP

Oct 2021 – Nov 2021

PHILADELPHIA, PA

BB&T SECURITIES, LLC

Mar 2016 – Feb 2021

KING OF PRUSSIA, PA

VALLEY FORGE ASSET MANAGEMENT, LLC

Apr 2010 – May 2016

KING OF PRUSSIA, PA

WIDMANN, SIFF & CO., INC.

May 2008 – Dec 2008

EXTON, PA

TYLER WEALTH COUNSELORS, INC.

Jun 2006 – Feb 2008

KING OF PRUSSIA, PA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 27

Series 52TO

Series 53

Series 57

Series 66

Series 99TO

Registration record

First registered · June 28, 2006

Years registered · 20

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

WELLINGS CAPITAL MANAGEMENT, LLC

CRD 316324 · SEC 801-125011

AUM

$129M

Regulatory assets under management

Employees

7 client accounts

Services offered by WELLINGS CAPITAL MANAGEMENT, LLC

Per Form ADV

Portfolio management (pooled investments)

Pension consulting

Client types served by the firm

Per Form ADV

Institutional Investors

Pension & Retirement Plans

View all advisors at WELLINGS CAPITAL MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Michael Francis Swallow offer?

Michael Francis Swallow specializes in Investment Management, Retirement Planning. Contact their office in LYNCHBURG, Virginia for a consultation.

What are Michael Francis Swallow's credentials?

Michael Francis Swallow is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Michael Francis Swallow located?

Michael Francis Swallow is based in LYNCHBURG, Virginia, working with WELLINGS CAPITAL MANAGEMENT, LLC. Their office serves clients in the LYNCHBURG metropolitan area and surrounding communities.

How does Michael Francis Swallow charge for services?

Michael Francis Swallow's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is WELLINGS CAPITAL MANAGEMENT, LLC?

WELLINGS CAPITAL MANAGEMENT, LLC has approximately 7 employees and manages $129M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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