Michael Swartz has been an investment adviser representative at La Crosse Financial Planning since April 2021, and is not listed among the firm’s executive officers or direct owners.
La Crosse Financial Planning Inc. is an Onalaska, WI firm with $176M under management, 333 clients and 5 advisers across 2 offices, as of its April 2026 filing.
Michael T. Swartz is a financial planner at La Crosse Financial Planning, focused on physicians and medical professionals. He helps clients with retirement planning, investment management and comprehensive financial strategies. He is the author and host of Health & Wealthness.
Michael Swartz’s longest registration is the current one, 5 years at La Crosse Financial Planning since 2021. Before joining La Crosse Financial Planning in 2021, Michael Swartz was registered through Voya Financial Advisors, Inc. and MML Investors Services, LLC.
- – present · 5 yearsOnalaska, WI · Adviser representative · Firm CRD 313361
- Voya Financial Advisors, Inc.– · 1 yearLaCrosse, WI · Adviser representative · Firm CRD 2882
- MML Investors Services, LLC– · 1 yearLaCrosse, WI · Adviser representative · Firm CRD 10409
Professional designations
Listed by La Crosse Financial Planning
- CFP®
Investment adviser representative registrations
Michael Swartz is registered as an investment adviser representative in 2 states. The first approvals date from April 2021; the most recent is Minnesota, in July 2021.
- MinnesotaSince 26 July 2021
- WisconsinSince 27 April 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7TO | General Securities Representative Examination | 4 October 2019 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 30 July 2018 |
| Series 63 | Uniform Securities Agent State Law Examination | 16 June 2018 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 7 June 2018 |
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Michael Thomas Swartz
- CRD
- 6917325
- Firm
- La Crosse Financial Planning · CRD 313361
- Office
- 1131 MAIN STREET, Onalaska, WI 54650
- Registration
- Investment adviser registration
- In the industry since
- June 2018
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- lacrossefinancialplanning.com
Where does Michael Swartz work?
Michael Swartz is an investment adviser representative registered through La Crosse Financial Planning Inc. since April 2021, and is not listed among the firm’s executive officers or direct owners.
Is Michael Swartz a financial advisor?
Yes. Michael Swartz has a current investment-adviser registration in Minnesota and Wisconsin, through La Crosse Financial Planning since April 2021.
How many years of experience does Michael Swartz have?
Michael Swartz has 8 years in the financial industry, since June 2018, across 3 adviser firms.
What exams has Michael Swartz passed?
Michael Swartz has passed 4 licensing exams: the Series 6, Series 63, Series 65 and Series 7TO. The earliest, the Series 6, was passed in June 2018. FINRA credited Michael Swartz with the SIE, which began in October 2018.
Where did Michael Swartz work before La Crosse Financial Planning?
Before La Crosse Financial Planning, Michael Swartz was registered through MML Investors Services, LLC, August 2018 to March 2020.
Where is Michael Swartz based?
Michael Swartz’s registered office is in Onalaska, WI.
Is Michael Swartz registered with FINRA?
No. Michael Swartz has no current broker registration.
Is Michael Swartz a CFP?
La Crosse Financial Planning lists Michael Swartz with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
Source: Michael T. Swartz biography, lacrossefinancialplanning.com
How can I verify Michael Swartz’s record?
Search CRD 6917325 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Michael Swartz’s full registration record.