John Swaine has been Founder of Second Half Financial Partners since February 2021, is a control person of the firm and directly owns under 5% of it.
Second Half Financial Partners, LLC is a Sebring, FL firm with $128M under management, 493 clients and 3 advisers in one office, as of its April 2026 filing.
John Swaine’s longest registration is the current one, 14 years at Second Half Financial Partners since 2012. Before joining Second Half Financial Partners in 2012, John Swaine was registered through Raymond James Financial Services Advisors, Inc and Morgan Stanley Smith Barney LLC.
- – present · 14 yearsSebring, FL · Adviser representative · Firm CRD 163454
- Raymond James Financial Services Advisors, Inc– · 7 yearsSebring, FL · Adviser representative · Firm CRD 149018
- Morgan Stanley Smith Barney LLC– · under a yearSebring, FL · Adviser representative · Firm CRD 149777
- Citigroup Global Markets Inc.– · 5 yearsSebring, FL · Adviser representative · Firm CRD 7059
Investment adviser representative registrations
John Swaine is registered as an investment adviser representative in 5 states, as a resident of Texas. The first approvals date from October 2012; the most recent is Georgia, in September 2024.
- FloridaSince 22 October 2012
- GeorgiaSince 16 September 2024
- North CarolinaSince 19 June 2024
- TexasResidentSince 10 February 2021
- VirginiaSince 20 June 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 20 September 2006 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 22 August 2006 |
| Series 65 | Uniform Investment Adviser Law Examination | 9 February 2004 |
| Series 63 | Uniform Securities Agent State Law Examination | 12 January 2000 |
| Series 7 | General Securities Representative Examination | 10 January 2000 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- John William Swaine
- CRD
- 4072112
- Firm
- Second Half Financial Partners · CRD 163454
- Role
- Founder
- Office
- 145 WEST CENTER AVENUE, Sebring, FL 33870
- Registration
- Investment adviser registration
- In the industry since
- January 2000
- Disciplinary history
- Not yet shown here · SEC record
Where does John Swaine work?
John Swaine has been Founder of Second Half Financial Partners, LLC since February 2021, and is a control person of the firm.
Is John Swaine a financial advisor?
Yes. John Swaine has a current investment-adviser registration in Florida, Georgia, North Carolina, Texas and Virginia, through Second Half Financial Partners since October 2012.
How many years of experience does John Swaine have?
John Swaine has 26 years in the financial industry, since January 2000, across 4 adviser firms.
What exams has John Swaine passed?
John Swaine has passed 5 licensing exams: the Series 7, Series 63, Series 65, Series 9 and Series 10. The earliest, the Series 7, was passed in January 2000. FINRA credited John Swaine with the SIE, which began in October 2018.
Where did John Swaine work before Second Half Financial Partners?
Before Second Half Financial Partners, John Swaine was registered through Morgan Stanley Smith Barney LLC, June 2009 to October 2009; Citigroup Global Markets Inc., February 2004 to June 2009.
Where is John Swaine based?
John Swaine’s registered office is in Sebring, FL.
Is John Swaine registered with FINRA?
No. John Swaine has no current broker registration.
How can I verify John Swaine’s record?
Search CRD 4072112 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes John Swaine’s full registration record.
- Leila ShaverChief Compliance Officer
- George LeidelFounder