Vice President · Professional Financial Management, Inc.
Donald A. Swain
CRD 5619107 · Named on Form ADV at one SEC-registered adviser
At a glance
Professional Financial Management, Inc., an SEC-registered wealth manager based in Appleton, WI with $116 million in regulatory assets, lists Donald A. Swain on its Form ADV as Vice President, a control person.
Firms and roles
- Professional Financial Management, Inc.Vice PresidentWealth manager · Appleton, WI · $116M in regulatory assets
AtlasMembers
Donald’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
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- Control-person status
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- When each role began
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- Each firm’s assets and growth
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Colleagues named on the same filings
- Mark J. VanderlindenPresident, Professional Financial Management, Inc.
- Kirt D. RezekChief Compliance Officer and Secretary, Professional Financial Management, Inc.
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Donald’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.