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Detailed Report
MICHAEL FRANCIS SWALLOW
CRD#: 3241109
IA
Investment Adviser
B
Broker
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 150 S WARNER RD
STE 200
KING OF PRUSSIA, PA 19406
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 150 S WARNER RD
STE 200
KING OF PRUSSIA, PA 19406
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2016 - 2021 (4 years)2 FIRMS2021 - 2021 (<1 year)2 FIRMS2023 - Present (2 years)BVALLEY FORGE ASSET MANAGEMENT, LLC (CRD# 7438)2002 - 2016 (14 years)BWIDMANN, SIFF & CO., INC. (CRD# 18196)2007 - 2008 (<1 year)BSTURDIVANT & CO. INC (CRD# 24583)2000 - 2002 (1 year)IAVALLEY FORGE ASSET MANAGEMENT, LLC (CRD# 7438)2010 - 2016 (6 years)IAWIDMANN, SIFF & CO., INC. (CRD# 18196)2008 - 2008 (<1 year)IATYLER WEALTH COUNSELORS, INC. (CRD# 110232)2006 - 2008 (1 year)
License(s)

State Registrations

B
New Jersey 3/13/2023
IA
Pennsylvania 3/13/2023
B
Pennsylvania 3/13/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
TRUIST INVESTMENT SERVICES, INC. (CRD#:17499)
150 S WARNER RD STE 200, KING OF PRUSSIA, PA 19406
STRATFORD, NJ
Registered with this firm since 3/13/2023
IA
TRUIST ADVISORY SERVICES, INC. (CRD#:283390)
150 S WARNER RD STE 200, KING OF PRUSSIA, PA 19406
Registered with this firm since 3/13/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 08/26/2021 - 12/13/2021 LPL FINANCIAL LLC (CRD#:6413) PHILADELPHIA, PA
IA
 10/06/2021 - 11/15/2021 LEVY WEALTH MANAGEMENT GROUP (CRD#:305766) PHILADELPHIA, PA
IA
 03/01/2016 - 02/04/2021 BB&T SECURITIES, LLC (CRD#:142785) KING OF PRUSSIA, PA
B
 03/01/2016 - 02/04/2021 BB&T SECURITIES, LLC (CRD#:142785) KING OF PRUSSIA, PA
B
 05/09/2002 - 06/01/2016 VALLEY FORGE ASSET MANAGEMENT, LLC (CRD#:7438) KING OF PRUSSIA, PA
IA
 04/23/2010 - 05/20/2016 VALLEY FORGE ASSET MANAGEMENT, LLC (CRD#:7438) KING OF PRUSSIA, PA
IA
 05/02/2008 - 12/01/2008 WIDMANN, SIFF & CO., INC. (CRD#:18196) EXTON, PA
B
 08/20/2007 - 05/02/2008 WIDMANN, SIFF & CO., INC. (CRD#:18196) EXTON, PA
IA
 06/28/2006 - 02/12/2008 TYLER WEALTH COUNSELORS, INC. (CRD#:110232) KING OF PRUSSIA, PA
B
 10/09/2000 - 03/27/2002 STURDIVANT & CO. INC (CRD#:24583) VOORHEES, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.