Laura Swift has been an investment adviser representative at Quad-Cities Investment Group since June 2010, and is not listed among the firm’s executive officers or direct owners. Laura Swift holds a BS from Illinois State University.
Quad-Cities Investment Group, LLC is a Davenport, IA firm with $426M under management, 610 clients and 6 advisers in one office, as of its April 2026 filing.
Laura Swift is Founding Partner, Advisor of Quad Cities Investment Group, LLC, based in Davenport, IA. She works with clients to define their financial objectives and life goals and builds individualized wealth strategies to help them achieve those goals. Her earlier industry experience includes Vice President - Investments roles at UBS and Piper Jaffray and a Financial Advisor role at Merrill Lynch.
Laura Swift’s longest registration is the current one, 16 years at Quad-Cities Investment Group since 2010. Before joining Quad-Cities Investment Group in 2010, Laura Swift was registered through Chicago Investment Group Advisors, LLC and UBS Financial Services Inc.
- – present · 16 yearsSaugerties, NY · Adviser representative · Firm CRD 154113
- Chicago Investment Group Advisors, LLC– · under a yearChicago, IL · Adviser representative · Firm CRD 148188
- UBS Financial Services Inc.– · 3 yearsDavenport, IA · Adviser representative · Firm CRD 8174
- Piper Jaffray & Co.– · 5 yearsDavenport, IA · Adviser representative · Firm CRD 665
Investment adviser representative registrations
Laura Swift is registered as an investment adviser representative in 3 states. The first approvals date from June 2010; the most recent is New York, in December 2023.
- IllinoisSince 28 June 2010
- IowaSince 28 June 2010
- New YorkSince 7 December 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 31 | Futures Managed Funds Examination | 14 January 2004 |
| Series 66 | Uniform Combined State Law Examination | 29 March 2000 |
| Series 7 | General Securities Representative Examination | 7 March 2000 |
- Name
- Futures Managed Funds Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Laura Ann Swift
- CRD
- 4117964
- Firm
- Quad-Cities Investment Group · CRD 154113
- Office
- Saugerties, NY
- Registration
- Investment adviser registration
- In the industry since
- January 2001
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- quadcitiesinvestmentgroup.com
Where does Laura Swift work?
Laura Swift is an investment adviser representative registered through Quad-Cities Investment Group, LLC since June 2010, and is not listed among the firm’s executive officers or direct owners.
Is Laura Swift a financial advisor?
Yes. Laura Swift has a current investment-adviser registration in Illinois, Iowa and New York, through Quad-Cities Investment Group since June 2010.
How many years of experience does Laura Swift have?
Laura Swift has 25 years in the financial industry, since January 2001, across 4 adviser firms.
What exams has Laura Swift passed?
Laura Swift has passed 3 licensing exams: the Series 7, Series 66 and Series 31. The earliest, the Series 7, was passed in March 2000.
Where did Laura Swift work before Quad-Cities Investment Group?
Before Quad-Cities Investment Group, Laura Swift was registered through UBS Financial Services Inc., August 2006 to October 2009; Piper Jaffray & Co., February 2001 to August 2006.
Where is Laura Swift based?
Laura Swift’s registered office is in Saugerties, NY.
Is Laura Swift registered with FINRA?
No. Laura Swift has no current broker registration.
How can I verify Laura Swift’s record?
Search CRD 4117964 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Laura Swift’s full registration record.
