Troy Swaner

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (5)

SIESeries 7Series 6Series 65Series 63

Registered states (53)

Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming

Years in the industry (source record)

25

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

Current firm

From the firm record

Firm

J.P. Morgan Securities LLC

Firm CRD

79

SEC number

801-3702

Assets under management

$429.7B as of Jun 30, 2026

Website

wealthpartners.jpmorgan.com ↗

Phone

800-999-2000

Firm location

New York, NY, 10017

Employment history (18)

From the source registration record · current first

• J.P. Morgan Securities LLCCurrent

  Dallas, TX · IA capacity
  start not retrieved → present
• J.P. Morgan Securities LLCCurrent

  Dallas, TX · BC capacity
  start not retrieved → present
• Lpl Financial LLC

  Dallas, TX · IA capacity
  Jun 9, 2021 → Jul 20, 2023
• Lpl Financial LLC

  Dallas, TX · BC capacity
  Jun 9, 2021 → Jul 20, 2023
• Bmo Harris Financial Advisors, Inc

  Dallas, TX · IA capacity
  Jan 13, 2021 → Mar 24, 2021
• Bmo Harris Financial Advisors, Inc.

  Chicago, IL · BC capacity
  Jan 13, 2021 → Mar 24, 2021
• Ubs Financial Services Inc.

  Dallas, TX · IA capacity
  Mar 11, 2019 → Oct 7, 2020
• Ubs Financial Services Inc.

  Dallas, TX · BC capacity
  Mar 11, 2019 → Oct 7, 2020
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  Dallas, TX · IA capacity
  Aug 15, 2013 → Mar 12, 2019
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  Dallas, TX · BC capacity
  Aug 15, 2013 → Mar 12, 2019
• Citigroup Global Markets Inc.

  Dallas, TX · IA capacity
  Aug 18, 2010 → May 17, 2013
• Citigroup Global Markets Inc.

  Dallas, TX · BC capacity
  Aug 18, 2010 → May 17, 2013
• Wells Fargo Investments, LLC

  Dallas, TX · IA capacity
  Nov 20, 2006 → Aug 24, 2010
• Wells Fargo Investments, LLC

  Dallas, TX · BC capacity
  Nov 20, 2006 → Aug 24, 2010
• Capital One Investments, LLC

  Dallas, TX · BC capacity
  Feb 1, 2005 → Sep 5, 2006
• Eagle Strategies Corp

  Dallas, TX · IA capacity
  Oct 30, 2002 → Feb 24, 2005
• Nylife Securities Inc.

  New York, NY · BC capacity
  Jun 20, 2001 → Feb 24, 2005
• Fidelity Investments Institutional Services Company, Inc.

  Smithfield, RI · BC capacity
  Sep 18, 1997 → Jul 20, 1999

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.