linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Travis James Swartwood

MMA Securities LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Travis? Claim Your Profile

About Travis James Swartwood

Travis Swartwood is a financial advisor with over 20 years of experience in the industry. Travis is currently registered with MMA Securities LLC. Travis was previously registered with PURSHE KAPLAN STERLING INVESTMENTS and PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC. Travis is licensed to provide investment advice and services in Pennsylvania. Travis specializes in providing financial planning and investment advisory services to retirement plan participants.

Firm Information

Travis Swartwood is currently registered with MMA Securities LLC. MMA Securities LLC is a Limited Liability Company formed in February 1998. The firm, headquartered in New York, NY, provides advisory services to retirement plan participants, including pension consulting, educational seminars, and selection of other advisors. With a focus on retirement services, MMA Securities LLC serves a wide range of clients, including pension and profit-sharing plans, state or municipal government entities, and plan participants. They are registered with the SEC and hold registrations in all 50 states.
MMA Securities LLC

1166 AVENUE OF THE AMERICAS

NEW YORK, NY 10036

Not reported

Assets Under Management

6,149

Total Clients

169

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.

check

pension consulting services

Guidance on pension options to ensure a secure financial future.

check

educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

advisory services to retirement plan participants

Advisory services to retirement plan participants

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.

check

fixed fees

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

check

commissions

Earned based on transactions or products sold.

check

other

Based on assets under advisement or per capita

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Travis Swartwood’s Registration & Firm History

PA

01/02/2020 - Present

MMA Securities LLC (Conshohocken PA)

PA

11/25/2014 - 01/27/2020

PURSHE KAPLAN STERLING INVESTMENTS (Plymouth Meeting PA)

PA

04/20/2001 - 05/08/2014

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (SCRANTON PA)

Not sure if Travis James Swartwood is right for you?

Licenses & Designations

BC

Issued 05/10/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/18/2001

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Travis James Swartwood.
Not sure if Travis James Swartwood is right for you?