Role at Integrated Wealth Concepts
- Title on Schedule A
- Chief Compliance Officer
- Control
- Ann Swartz is a control person of Integrated Wealth Concepts.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Ann Swartz has held the filed role since November 2023.
The firm
Form ADV filed 3 August 2026
Career on record
Ann Swartz has been registered through Integrated Wealth Concepts since October 2016, and before that through Lincoln Financial Advisors Corporation and New England Securities Corporation.
- Passed SIE · 2018
- – present · 10 yearsRockland, MA · Adviser representative · Firm CRD 284656
- LPL Financial LLCCurrent– present · 10 yearsPlympton, MA · Adviser representative and broker · Firm CRD 6413
- Lincoln Financial Advisors Corporation– · 3 yearsWaltham, MA · Adviser representative · Firm CRD 3978
- Passed Series 24 · 2005
- Passed Series 7 · 2004
- New England Securities Corporation– · 10 yearsBoston, MA · Adviser representative · Firm CRD 615
- Passed Series 26 · 1998
- Passed Series 6 and Series 63 · 1989
Registrations and exams
Ann Swartz has a current investment-adviser registration in Massachusetts and has passed 6 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Massachusetts | Investment adviser representative | Approved | 4 October 2016 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 9 December 1989 |
| Series 24 | General Securities Principal Examination | 21 January 2005 |
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 22 December 1998 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 19 February 2004 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 13 February 1989 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
Individual record
- Full name
- Ann Lamontagne Swartz
- CRD
- 2014737
- Registration status
- Investment adviser and broker registrations
- Office
- 300 LEDGEWOOD PLACE, SUITE 100, Rockland, MA 02370
- Firm bio
- theifpgroup.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
Integrated Financial Partners’ biography says Ann Swartz studied economics at Clark University and completed Leadership Best Practices study at Harvard Business School. Official firm biography
Education
- Degree in economics, Clark UniversityOfficial firm biography
- Leadership Best Practices program, Harvard Business SchoolOfficial firm biography
Common questions
Where does Ann Swartz work?
Ann Swartz has been Chief Compliance Officer of Integrated Wealth Concepts LLC since November 2023, and is a control person of the firm.
Is Ann Swartz a financial advisor?
Yes. Ann Swartz has a current investment-adviser registration in Massachusetts, through Integrated Wealth Concepts since October 2016, as of 17 October 2026.
How many years of experience does Ann Swartz have?
Ann Swartz has worked in the financial industry for 35 years as of 17 October 2026, counted from 9 December 1990, across 4 adviser firms.
What exams has Ann Swartz passed?
Ann Swartz has passed 6 licensing exams: the Series 6, Series 63, Series 26, Series 7, Series 24 and SIE. The earliest, the Series 6, was passed in February 1989.
Where did Ann Swartz work before Integrated Wealth Concepts?
Before Integrated Wealth Concepts, Ann Swartz was registered through Lincoln Financial Advisors Corporation, March 2014 to October 2016; New England Securities Corporation, December 2002 to April 2013.
Where is Ann Swartz based?
Ann Swartz’s registered office is in Rockland, MA.
Leadership at Integrated Wealth Concepts
- Andree MohrPresident
- Kristi CarlsonChief Finance Officer
- Kathleen DonnellyDirector of Finance & Accounting
- Caitlyn FramentDirector of Business Process Optimization
- Stephen KolanoChief Investment Officer
- Paul SaganeyMember and Founder