Andrew Swartwout has been an investment adviser representative at Silver Grove Financial Group since August 2021, and is not listed among the firm’s executive officers or direct owners.
Silver Grove Financial Group, Inc. is an Orchard Park, NY firm with $454M under management, 2,150 clients and 17 advisers across 11 offices, as of its August 2026 filing.
Andrew Swartwout is Compliance Delegate & Associate Advisor of Silver Grove Financial Group, Inc. He has worked in the financial industry for 32 years, with experience at L.C. Wegard & Co., Principal Financial Group, M&T Securities and LPL. Outside the firm, he also operates Swartwout Financial Management.
Andrew Swartwout’s longest registration is the current one, 8 years at LPL Financial LLC since 2017. Before joining Silver Grove Financial Group in 2021, Andrew Swartwout was registered through M&T Securities, Inc.
- – present · 5 yearsArcade, NY · Adviser representative · Firm CRD 287512
- LPL Financial LLCAlso current– present · 8 yearsOlean, NY · Adviser representative and broker · Firm CRD 6413
- M&T Securities, Inc.– · under a yearArcade, NY · Adviser representative · Firm CRD 17358
Investment adviser representative registrations
Andrew Swartwout is registered as an investment adviser representative in New York, since August 2021.
- New YorkSince 25 August 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 30 May 2001 |
| Series 63 | Uniform Securities Agent State Law Examination | 17 May 1994 |
| Series 7 | General Securities Representative Examination | 9 May 1994 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Andrew James Swartwout
- CRD
- 2478664
- Firm
- Silver Grove Financial Group · CRD 287512
- Office
- 342 Route 39, Arcade, NY 14009
- Registration
- Investment adviser and broker registrations
- In the industry since
- December 1994
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- silvergrovegroup.com
Where does Andrew Swartwout work?
Andrew Swartwout is an investment adviser representative registered through Silver Grove Financial Group, Inc. since August 2021, and is not listed among the firm’s executive officers or direct owners.
Is Andrew Swartwout a financial advisor?
Yes. Andrew Swartwout has a current investment-adviser registration in New York, through Silver Grove Financial Group since August 2021.
How many years of experience does Andrew Swartwout have?
Andrew Swartwout has 31 years in the financial industry, since December 1994, across 3 adviser firms.
What exams has Andrew Swartwout passed?
Andrew Swartwout has passed 3 licensing exams: the Series 7, Series 63 and Series 24. The earliest, the Series 7, was passed in May 1994. FINRA credited Andrew Swartwout with the SIE, which began in October 2018.
Where did Andrew Swartwout work before Silver Grove Financial Group?
Before Silver Grove Financial Group, Andrew Swartwout was registered through M&T Securities, Inc., January 2017 to November 2017.
Where is Andrew Swartwout based?
Andrew Swartwout’s registered office is in Arcade, NY.
Is Andrew Swartwout registered with FINRA?
Yes. Andrew Swartwout has a current broker registration, under CRD 2478664.
Source: FINRA BrokerCheck
How can I verify Andrew Swartwout’s record?
Search CRD 2478664 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Andrew Swartwout’s full registration record.
