Brian Swim has been Chief Compliance Officer of Lincoln Capital since April 2024, is not listed as a control person, but directly owns under 5% of the firm.
Lincoln Capital, LLC is a Lincoln, NE firm with $845M under management, 1,266 clients and 4 advisers in one office, as of its March 2026 filing.
Brian Swim’s longest registration is the current one, 3 years at Lincoln Capital since 2022. Before joining Lincoln Capital in 2022, Brian Swim was registered through Ameritas Investment Corp and Sterneck Capital Management LLC.
- Lincoln Capital, LLCCurrent– present · 3 yearsLincoln, NE · Adviser representative · Firm CRD 168307
- Ameritas Investment Corp– · under a yearLincoln, NE · Adviser representative · Firm CRD 14869
- Sterneck Capital Management LLC– · 2 yearsKansas City, MO · Adviser representative · Firm CRD 111463
- CLS Investments, LLC– · 3 yearsKansas City, MO · Adviser representative · Firm CRD 107975
Investment adviser representative registrations
Brian Swim is registered as an investment adviser representative in Nebraska, since December 2022.
- NebraskaSince 21 December 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 20 December 2022 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 April 2019 |
| Series 6TO | Investment Company Products/Variable Contracts Representative Examination | 12 March 2019 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 2 August 2006 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Brian George Swim
- CRD
- 5045181
- Firm
- Lincoln Capital · CRD 168307
- Role
- Chief Compliance Officer
- Office
- 6003 Old Cheney Road, Suite 350, Lincoln, NE 68516
- Registration
- Investment adviser registration
- In the industry since
- October 2013
- Disciplinary history
- Not yet shown here · SEC record
Where does Brian Swim work?
Brian Swim has been Chief Compliance Officer of Lincoln Capital, LLC since April 2024.
Is Brian Swim a financial advisor?
Yes. Brian Swim has a current investment-adviser registration in Nebraska, through Lincoln Capital since December 2022.
How many years of experience does Brian Swim have?
Brian Swim has 13 years in the financial industry, since October 2013, across 4 adviser firms.
What exams has Brian Swim passed?
Brian Swim has passed 4 licensing exams: the Series 6, Series 6TO, Series 63 and Series 65. The earliest, the Series 6, was passed in August 2006. FINRA credited Brian Swim with the SIE, which began in October 2018.
Where did Brian Swim work before Lincoln Capital?
Before Lincoln Capital, Brian Swim was registered through Ameritas Investment Corp, April 2016 to June 2016; Sterneck Capital Management LLC, November 2013 to January 2016; CLS Investments, LLC, August 2009 to May 2013.
Where is Brian Swim based?
Brian Swim’s registered office is in Lincoln, NE.
Is Brian Swim registered with FINRA?
No. Brian Swim has no current broker registration.
How can I verify Brian Swim’s record?
Search CRD 5045181 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Brian Swim’s full registration record.
