John Thomas Swailes II
Investment Adviser Representative at Hornor, Townsend & KENT, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
John Thomas Swailes II is an investment adviser representative with Hornor, Townsend & KENT, LLC in Littleton, CO, where they have been registered since 2026. They have worked in the securities industry since 2021 and were previously registered with Northwestern Mutual Investment Services, LLC. They have passed 4 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Colorado.
Office
Advisors at this office: 8
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Colorado
- Broker:
33 states and territories
Alabama, Arizona, Arkansas, California, Colorado, Florida, Georgia, Hawaii, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maryland, Massachusetts, Minnesota, Missouri, Montana, Nevada, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, Wisconsin
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Steady Hands Limited dba Steady Hands PaintingJan 2016 – Jan 2020Fountain, CO
- Retired or Never WorkedJan 2020 – Jun 2021Fort Carson, CO
- Northwestern Mutual Life Insurance CompanyJul 2021 – no end date reportedMilwaukee, WI
- Northwestern Mutual Investment Services LLCJul 2021 – no end date reportedColorado Spgs, CO
- Northwestern Mutual Wealth Management CompanyMar 2022 – May 2026Milwaukee, WI
- Hornor, Townsend & Kent, LLCMay 2026 – no end date reportedWilmington, DE
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Hornor, Townsend & KENT, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
A complete range of solutions and services tailored to financial professionals' businesses, including broker-dealer and registered investment adviser services, wealth management solutions, technology, and fee-based financial planning programs.
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 466
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Conshohocken, PA
- SEC file number:
- 801-56151
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 17, 2026
View full firm profileOther advisors at Hornor, Townsend & KENT, LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. John Thomas Swailes II has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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