Heather Swan has been CCO of R.i.t. Wealth Advisors since March 2026, is a control person of the firm and directly owns under 5% of it.
R.i.t. Wealth Advisors Inc. is a San Luis Obispo, CA firm with $235M under management, 262 clients and 1 adviser in one office, as of its September 2026 filing.
No adviser firm registrations are on Heather Swan’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7TO | General Securities Representative Examination | 30 October 2019 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 8 August 2015 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 6 August 2015 |
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Heather Ann Swan
- CRD
- 6525403
- Firm
- R.i.t. Wealth Advisors · CRD 339934
- Role
- CCO
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Heather Swan work?
Heather Swan has been CCO of R.i.t. Wealth Advisors Inc. since March 2026, and is a control person of the firm.
Does Heather Swan have a current investment-adviser registration?
Heather Swan has no current investment-adviser or broker registration.
What exams has Heather Swan passed?
Heather Swan has passed 3 licensing exams: the Series 6, Series 63 and Series 7TO. The earliest, the Series 6, was passed in August 2015. FINRA credited Heather Swan with the SIE, which began in October 2018.
Is Heather Swan registered with FINRA?
No. Heather Swan has no current broker registration.
How can I verify Heather Swan’s record?
Search CRD 6525403 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Heather Swan’s full registration record.