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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

JOHN SMITH SWARTS

Advisor at MML INVESTORS SERVICES, LLC

WEST CHESTER, PA | NEWTOWN SQUARE, PA

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Search this name across graphsid dfx:ria:1ff303e2-309b-38cb-20e6-bdb9bd446781

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 2, 2004 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MML INVESTORS SERVICES, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 15, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jun 15, 1995
First registration: Jan 2, 2004
Dual registered: yes, broker-dealer
Other names: JOHN S SWARTS
IAPD individual key: 2613441

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Mar 25, 2017	n/a	yes	NEWTOWN SQUARE, PA\|WEST CHESTER, PA	Current employment
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Jul 16, 2013	Mar 25, 2017	no	PLYMOUTH MEETING, PA\|NEWTOWN SQUARE, PA\|NEWARK, DE\|PLYMOUTH MEETING, PA\|Plymouth Meeting, PA	Previous registration
INDEPENDENT ALLIANCE ADVISORS, LLC	n/a	Sep 7, 2010	Feb 14, 2012	no	MALVERN, PA	Previous registration
CBF ADVISORS, LLC	Asset manager	Oct 4, 2005	Feb 24, 2009	no	PRINCETON, NJ	Previous registration
BNY MELLON ADVISORS, INC.	Bank affiliated wealth	Jan 2, 2004	Mar 22, 2004	no	MALVERN, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MSI FINANCIAL SERVICES, INC.	MML INVESTORS SERVICES, LLC	Mar 25, 2017	Mar 25, 2017	0	Bulk transfer	Other
INDEPENDENT ALLIANCE ADVISORS, LLC	MSI FINANCIAL SERVICES, INC.	Feb 14, 2012	Jul 16, 2013	518	Firm change after gap	Other
CBF ADVISORS, LLC	INDEPENDENT ALLIANCE ADVISORS, LLC	Feb 24, 2009	Sep 7, 2010	560	Firm change after gap	Other
BNY MELLON ADVISORS, INC.	CBF ADVISORS, LLC	Mar 22, 2004	Oct 4, 2005	561	Firm change after gap	Other

Relationships

Registered with (5)

→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: current employment
Mar 25, 2017 to presentfactForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jul 16, 2013 to Mar 25, 2017factForm ADV
→ INDEPENDENT ALLIANCE ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 7, 2010 to Feb 14, 2012factForm ADV
→ CBF ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 4, 2005 to Feb 24, 2009factForm ADV
→ BNY MELLON ADVISORS, INC.Registered adviserregistration: previous registration
Jan 2, 2004 to Mar 22, 2004factForm ADV

Dated events

No dated event names this entity yet.