Ronald Swanick has been an investment adviser representative at Independent Wealth Network since October 2025, and is not listed among the firm’s executive officers or direct owners.
Independent Wealth Network, Inc. is an Urbandale, IA firm with $518M under management, 1,460 clients and 30 advisers across 20 offices, as of its March 2026 filing.
Ronald Swanick is Investment Advisor Representative of Swan Financial Group, based in Portsmouth, New Hampshire. He has more than 25 years of experience in the investment and financial services industry and has worked with Fidelity, New York Life and MassMutual. His experience covers investment strategies, retirement planning and wealth management.
Ronald Swanick’s longest registration was 4 years at Simplicity Wealth (2019–2024). Before joining Independent Wealth Network in 2025, Ronald Swanick was registered through Simplicity Wealth and Brownstone Financial Group LLC.
- – present · 1 yearPortsmouth, NH · Adviser representative · Firm CRD 286262
- Simplicity Wealth– · under a yearPortsmouth, NH · Adviser representative · Firm CRD 300572
- Brownstone Financial Group LLC– · 2 yearsLondonderry, NH · Adviser representative · Firm CRD 306404
- Simplicity Wealth– · 4 yearsLondonderry, NH · Adviser representative · Firm CRD 300572
- Touchstone Advisors Inc– · under a yearCincinnati, OH · Adviser representative · Firm CRD 107028
- Usallianz Securities, Inc.– · 1 yearBeverly, MA · Adviser representative · Firm CRD 40875
Investment adviser representative registrations
Ronald Swanick is registered as an investment adviser representative in 3 states. The first approvals date from October 2025; the most recent is Massachusetts, in January 2026.
- MaineSince 22 October 2025
- MassachusettsSince 2 January 2026
- New HampshireSince 21 October 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 16 October 2019 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 23 April 2001 |
| Series 63 | Uniform Securities Agent State Law Examination | 4 January 1995 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 12 September 1994 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Ronald T Swanick
- CRD
- 2494653
- Firm
- Independent Wealth Network · CRD 286262
- Office
- Swan Financial Group, 1 New Hampshire Ave Suite #125, Portsmouth, NH 03801
- Registration
- Investment adviser registration
- In the industry since
- May 2000
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- swan-fin.com
Where does Ronald Swanick work?
Ronald Swanick is an investment adviser representative registered through Independent Wealth Network, Inc. since October 2025, and is not listed among the firm’s executive officers or direct owners.
Is Ronald Swanick a financial advisor?
Yes. Ronald Swanick has a current investment-adviser registration in Maine, Massachusetts and New Hampshire, through Independent Wealth Network since October 2025.
How many years of experience does Ronald Swanick have?
Ronald Swanick has 26 years in the financial industry, since May 2000, across 5 adviser firms.
What exams has Ronald Swanick passed?
Ronald Swanick has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 65. The earliest, the Series 6, was passed in September 1994. FINRA credited Ronald Swanick with the SIE, which began in October 2018.
Where did Ronald Swanick work before Independent Wealth Network?
Before Independent Wealth Network, Ronald Swanick was registered through Simplicity Wealth, May 2025 to October 2025; Brownstone Financial Group LLC, June 2022 to May 2025; Simplicity Wealth, November 2019 to February 2024; Touchstone Advisors Inc, August 2006 to February 2007; Usallianz Securities, Inc., June 2005 to July 2006.
Where is Ronald Swanick based?
Ronald Swanick’s registered office is in Portsmouth, NH.
Is Ronald Swanick registered with FINRA?
No. Ronald Swanick has no current broker registration.
How can I verify Ronald Swanick’s record?
Search CRD 2494653 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Ronald Swanick’s full registration record.
