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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

Troy Swaner

Advisor at J.P. MORGAN SECURITIES LLC

Dallas, TX

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Search this name across graphsid dfx:ria:6cf1a480-5303-274e-528a-3948d5cc6750

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Oct 30, 2002 to Sep 14, 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: J.P. MORGAN SECURITIES LLC
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 20, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Aug 20, 1996
First registration: Oct 30, 2002
Dual registered: yes, broker-dealer
Other names: TROY DON SWANER|TROY D SWANER
IAPD individual key: 2661826

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
J.P. MORGAN SECURITIES LLC	Wirehouse	Feb 7, 2025	n/a	yes	Dallas, TX	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 9, 2021	Jul 20, 2023	no	DALLAS, TX	Previous registration
BMO HARRIS FINANCIAL ADVISORS, INC	Former SEC adviser	Jan 13, 2021	Mar 24, 2021	no	Dallas, TX\|CHICAGO, IL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Mar 11, 2019	Oct 7, 2020	no	DALLAS, TX	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 15, 2013	Mar 12, 2019	no	DALLAS, TX\|DALLAS, TX\|DALLAS, TX	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 18, 2010	May 17, 2013	no	DALLAS, TX	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Nov 20, 2006	Aug 24, 2010	no	DALLAS, TX\|DALLAS, TX\|FORT WORTH, TX\|PLANO, TX	Previous registration
EAGLE STRATEGIES LLC	Bd affiliated wealth	Oct 30, 2002	Feb 24, 2005	no	DALLAS, TX	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
LPL FINANCIAL LLC	J.P. MORGAN SECURITIES LLC	Jul 20, 2023	Feb 7, 2025	568	Firm change after gap	Ibd to wirehouse
BMO HARRIS FINANCIAL ADVISORS, INC	LPL FINANCIAL LLC	Mar 24, 2021	Jun 9, 2021	77	Bulk transfer	Ibd to ibd
UBS FINANCIAL SERVICES INC.	BMO HARRIS FINANCIAL ADVISORS, INC	Oct 7, 2020	Jan 13, 2021	98	Firm change	Wirehouse to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	Mar 12, 2019	Mar 11, 2019	-1	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 17, 2013	Aug 15, 2013	90	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	CITIGROUP GLOBAL MARKETS INC.	Aug 24, 2010	Aug 18, 2010	-6	Firm change	Other
EAGLE STRATEGIES LLC	WELLS FARGO INVESTMENTS, LLC	Feb 24, 2005	Nov 20, 2006	634	Firm change after gap	Other

Relationships

Registered with (8)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Feb 7, 2025 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jun 9, 2021 to Jul 20, 2023factForm ADV
→ BMO HARRIS FINANCIAL ADVISORS, INCRegistered adviserregistration: previous registration
Jan 13, 2021 to Mar 24, 2021factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Mar 11, 2019 to Oct 7, 2020factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 15, 2013 to Mar 12, 2019factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Aug 18, 2010 to May 17, 2013factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Nov 20, 2006 to Aug 24, 2010factForm ADV
→ EAGLE STRATEGIES LLCRegistered adviserregistration: previous registration
Oct 30, 2002 to Feb 24, 2005factForm ADV

Dated events

Occurred
Jul 20, 2023
Advisor changed firm
Troy Swaner left Lpl Financial Llc for J.P. Morgan Securities Llc (registered 2025-02-07)
Form ADVobserved 5 days ago