Sws Securities, Inc. is a large advisory firm based in Dallas. It manages $84.18 million of regulatory assets for 284 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.
Sws Securities provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.
The assets under management (AUM) of Sws Securities, Inc. is $84.18 million. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.
The advisory firm has a single stream of revenue. Clients pay Sws Securities, Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
Donald A Buchholz has been acting as President since 1 Jan 2002. Stacy Malinda Hodges joined the executive team most recently as the Cfo, Executive Vice President.
The principal office where Sws Securities, Inc. performs its advisory services is located at 1201 Elm Street, Suite 3500, Dallas, TX 75270, which is also the mailing address of the firm. An additional office of the firm is in Albuquerque, NM. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 214-859-1800 or by fax 214-859-6497. The normal business hours are 8:00am-5:00pm on Monday - Friday.