Donald Swain has been Vice President of Professional Financial Management since January 2013, is a control person of the firm and directly owns between 25% and 50% of it.
Professional Financial Management, Inc. is an Appleton, WI firm with $116M under management, 164 clients and 3 advisers in one office, as of its March 2026 filing.
Donald Swain’s longest registration is the current one, 16 years at Professional Financial Management since 2010. Before joining Professional Financial Management in 2010, Donald Swain was registered through Raymond James Financial Services Advisors, Inc and Wealth Management LLC.
- – present · 16 yearsAppleton, WI · Adviser representative · Firm CRD 154016
- Raymond James Financial Services Advisors, Inc– · under a yearLittle Chute, WI · Adviser representative · Firm CRD 149018
- Wealth Management LLC– · under a yearAppleton, WI · Adviser representative · Firm CRD 109074
Investment adviser representative registrations
Donald Swain is registered as an investment adviser representative in 2 states. The first approvals date from June 2010; the most recent is Texas, in July 2021.
- TexasSince 23 July 2021
- WisconsinSince 29 June 2010
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 15 January 2010 |
| Series 7 | General Securities Representative Examination | 22 December 2009 |
| Series 65 | Uniform Investment Adviser Law Examination | 16 January 2009 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Donald Allen Swain
- CRD
- 5619107
- Firm
- Professional Financial Management · CRD 154016
- Role
- Vice President
- Office
- W6184 AEROTECH DRIVE, SUITE A, Appleton, WI 54914
- Registration
- Investment adviser registration
- In the industry since
- October 2009
- Disciplinary history
- Not yet shown here · SEC record
Where does Donald Swain work?
Donald Swain has been Vice President of Professional Financial Management, Inc. since January 2013, and is a control person of the firm.
Is Donald Swain a financial advisor?
Yes. Donald Swain has a current investment-adviser registration in Texas and Wisconsin, through Professional Financial Management since June 2010.
How many years of experience does Donald Swain have?
Donald Swain has 16 years in the financial industry, since October 2009, across 3 adviser firms.
What exams has Donald Swain passed?
Donald Swain has passed 3 licensing exams: the Series 65, Series 7 and Series 63. The earliest, the Series 65, was passed in January 2009.
Where did Donald Swain work before Professional Financial Management?
Before Professional Financial Management, Donald Swain was registered through Wealth Management LLC, January 2009 to April 2009.
Where is Donald Swain based?
Donald Swain’s registered office is in Appleton, WI.
Is Donald Swain registered with FINRA?
No. Donald Swain has no current broker registration.
How can I verify Donald Swain’s record?
Search CRD 5619107 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Donald Swain’s full registration record.