ABOUT

SW Financial is an independent brokerage and investment bank that offers an array of investment products and services to private clients, small businesses, institutions and corporations.

© 2019 by SW FINANCIAL

Our independent broker dealer is a member of FINRA and SIPC,
and is headquartered in one of the most complex markets in the nation—New York.

As they say, if you can make it here, you can make it anywhere,
and our history of success and exceptional service has proven that to be true.

 

COMPANY PROFILE

The experts at SW Financial are devoted to getting to the heart of every client’s financial goals and intentions, to ensure that we hit every target in your investment strategy. From private clients and small businesses to institutions and corporations, our diverse services can accommodate needs of all sizes.
Whether you’re saving for your child’s education, investing in your retirement, or looking for alternative investment opportunities, our representatives will provide the information and insight that you need to achieve your goals. Our investors rely on the knowledge, experience, and integrity of SW Financial.
 

OUR MISSION

Prioritizing our clients’ best interests is the guiding principle for our investment banking and advisory firm. We are a global, performance driven management firm with a collaborative, entrepreneurial spirit.  Our team of skilled professionals are committed to providing creative investment solutions to fit the unique needs of individuals, middle-market companies, and business owners.  Our combination of Wall Street sophistication with superb, boutique-style customer service provides our clients with objective advice to understand their options and find the best solutions.

CLEARING FIRM

Axos Clearing LLC, formerly COR Clearing LLC, is a full-service clearing firm focused on the success of our introducing broker-dealer and registered investment advisor correspondents.
 
For more than 15 years, Axos has been providing flexible clearing solutions focused on empowering correspondents to grow their businesses. Axos's technology offerings and partnerships with top industry providers enable the firms it serves to effectively navigate changes and employ the latest advancements in the financial services space. In 2019, Axos became a subsidiary of Axos Financial, a NYSE-listed company with a market capitalization in excess of $1 Billion and more than $10 Billion assets under management. 
 
 

Business Continuity Plan

SW Financial maintains your account as a fully disclosed broker-dealer and member of FINRA. FINRA Rule 510 requires each member firm to create and maintain a business continuity plan. In accordance with these rules the firm has developed a plan to ensure that business continues to run uninterrupted during business emergencies.

 

1. Data back-up and recovery;
2. All mission critical systems;
3. Financial and operational assessments;
4. Alternate communications between clients and the firm;
5. Alternate communications between the firm and its employees;
6. Alternate physical location of employees;
7. Critical business constituent, bank, and counter-party impact;
8. Regulatory reporting;
9. Communications with the regulators;
10. How the firm will assure clients’ prompt access to their funds and securities in the event that the member determines that it is unable to continue its business.

In the unlikely event of business disruption, our firm intends to continue to conduct business. Should our clients become unable to contact us at our primary numbers, you may contact the firm using our secondary contact information:

800.997.1150

info@sw-financial.com
 

or contact
 

Axos Clearing
1200 Landmark Center, Ste. 800
Omaha, NE 68102-1916

402-384-6100 or 
800-811-3487