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John Thomas Swailes is a financial advisor professional located in Colorado Spgs, CO. They specialize in financial advisory. With over 4 years of experience, they bring deep expertise to every client.
John Thomas Swailes - Northwestern Mutual Investment Services, Llc holds an active professional license (FINRA CRD) for your protection.
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John Thomas Swailes operates Northwestern Mutual Investment Services, Llc in Colorado Springs, Colorado. With 4 years in the financial advisory field, Swailes holds a FINRA CRD license, which enables him to offer investment and securities guidance. The business is registered under FINRA oversight, the regulatory body governing broker-dealers and investment professionals. This registration ensures compliance with federal securities laws and industry standards for client protection and transparent business practices.
A FINRA CRD license indicates that John Thomas Swailes is registered with the Financial Industry Regulatory Authority, the self-regulatory organization overseeing broker-dealers and investment advisors. This registration means he has met FINRA's qualification requirements and is subject to ongoing compliance monitoring and examination. The CRD (Central Registration Depository) number tracks his registration history and any disciplinary actions. Clients working with a FINRA-registered advisor benefit from regulatory oversight designed to protect against fraud and misconduct in securities transactions and investment advice.