Thomas Swift has been CEO/Chief Compliance Officer of Financial Avengers since August 2000, is a control person of the firm and directly owns between 50% and 75% of it.
Financial Avengers, Inc. is an Oakland, CA firm with $488M under management, 206 clients and 2 advisers in one office, as of its March 2026 filing.
- Financial Avengers, Inc.Current– present · 26 yearsOakland, CA · Adviser representative · Firm CRD 119636
Investment adviser representative registrations
Thomas Swift is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from September 2000; the most recent is Texas, in March 2007.
- CaliforniaSince 14 September 2000
- TexasResidentSince 26 March 2007
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 30 July 2001 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 April 1997 |
| Series 7 | General Securities Representative Examination | 18 March 1997 |
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Thomas Wainwright Swift
- CRD
- 2867067
- Firm
- Financial Avengers · CRD 119636
- Role
- CEO/Chief Compliance Officer
- Office
- 827 Broadway, Suite 210, Oakland, CA 94607
- Registration
- Investment adviser registration
- In the industry since
- September 2000
- Disciplinary history
- Not yet shown here · SEC record
Where does Thomas Swift work?
Thomas Swift has been CEO/Chief Compliance Officer of Financial Avengers, Inc. since August 2000, and is a control person of the firm.
Is Thomas Swift a financial advisor?
Yes. Thomas Swift has a current investment-adviser registration in California and Texas, through Financial Avengers since September 2000.
How many years of experience does Thomas Swift have?
Thomas Swift has 26 years in the financial industry, since September 2000, across 1 adviser firm.
What exams has Thomas Swift passed?
Thomas Swift has passed 3 licensing exams: the Series 7, Series 63 and Series 24. The earliest, the Series 7, was passed in March 1997.
Where is Thomas Swift based?
Thomas Swift’s registered office is in Oakland, CA.
Is Thomas Swift registered with FINRA?
No. Thomas Swift has no current broker registration.
How can I verify Thomas Swift’s record?
Search CRD 2867067 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Swift’s full registration record.