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Richard Frederick Swider

Lion Street Financial, LLC

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About Richard Frederick Swider

Richard Swider is a financial advisor with Lion Street Financial, LLC. Richard is a registered representative with FINRA. He is also registered in multiple states to provide securities-related services. Richard has been in the financial services industry since 1987. He has experience working with clients in a variety of financial services firms, including M Holdings Securities, Inc., Mutual Service Corporation, Northwestern Mutual Investment Services, LLC, Harbour Investments, Inc., Integrated Resources Equity Corporation, and Connecticut Mutual Financial Services, Inc..

Firm Information

Richard Swider is currently registered with Lion Street Financial, LLC. Lion Street Financial, LLC is a Limited Liability Company formed in January 2022 and is registered to provide advisory services in all 50 states, the District of Columbia, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

137

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.

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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Richard Swider’s Registration & Firm History

FL

04/19/2022 - Present

Lion Street Financial, LLC (NAPLES FL)

WI

06/26/2000 - 12/31/2013

M HOLDINGS SECURITIES, INC. (MILWAUKEE WI)

MA

07/22/1995 - 06/30/2000

MUTUAL SERVICE CORPORATION (BOSTON MA)

WI

07/18/1997 - 12/23/1998

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)

WI

09/01/1988 - 07/27/1995

HARBOUR INVESTMENTS, INC. (MADISON WI)

NA

07/17/1995 - 07/21/1995

MUTUAL SERVICE CORPORATION

NA

11/27/1985 - 06/24/1987

INTEGRATED RESOURCES EQUITY CORPORATION

NA

09/14/1977 - 11/05/1986

CONNECTICUT MUTUAL FINANCIAL SERVICES, INC.

NA

11/08/1982 - 04/12/1983

SECURITY SPRING & BOE INVESTMENT CORP.

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Licenses & Designations

BC

Issued 03/14/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/26/1988

Series 24 - General Securities Principal Examination

BC

Issued 04/15/2022

Series 7TO - General Securities Representative Examination

BC

Issued 10/15/2020

SIE - Securities Industry Essentials Examination

BC

Issued 12/14/1985

Series 7 - General Securities Representative Examination

BC

Issued 09/08/1977

Series 1 - Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Richard Frederick Swider. Review regulatory record here.
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