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Gregory Gelon Swartz

D.a. Davidson & Co.

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About Gregory Gelon Swartz

Gregory Gelon Swartz is a financial advisor who has been in the industry since 2004. He is currently registered with D.a. Davidson & Co. in Denver, Colorado. Gregory has a broad range of experience, having previously worked with Piper Sandler & Co. in Phoenix, Arizona. Gregory holds several licenses, including the Series 7, Series 50, Series 52TO, and SIE exams. He is also registered with the state of Colorado and 12 other states. Gregory's expertise covers various financial areas, including securities, municipal bonds, investment advisory, and financial planning.

Firm Information

Gregory Swartz is currently registered with D.a. Davidson & Co.. D.A. Davidson & Co. is a corporation that was formed in May 1935, and has its main office located in GREAT FALLS, Montana. They offer a wide range of financial planning services, including portfolio management for individuals and businesses, pension consulting, educational seminars, and publication of periodicals. They also provide selection of other advisors and manage portfolios for investment companies and pooled investment vehicles. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. Their regulatory assets under management total $36,175,333,459.
D.a. Davidson & Co.

8 THIRD STREET NORTH

GREAT FALLS, MT 59401

$36.18B

Assets Under Management

1,000

Total Clients

1,002

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Gregory Swartz’s Registration & Firm History

CO

01/09/2024 - Present

D.a. Davidson & Co. (DENVER CO)

AZ

03/03/2004 - 07/20/2023

PIPER SANDLER & CO. (PHOENIX AZ)

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Licenses & Designations

BC

Issued 06/28/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/01/2017

Series 50 - Municipal Advisor Representative Qualification Exam

BC

Issued 03/02/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

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Nasdaq Stock Market

Disclosures

There are no public disclosures for Gregory Gelon Swartz.
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