About Us

The intricacies of today’s market provide a vast spectrum of choices when it comes to investing your hard-earned money.

It’s important to find a seasoned professional who not only knows the ins and outs of finance, but who’s dedicated to truly understanding you and your goals. The team at SW Financial has been carefully chosen for their skills, professionalism, and commitment to service excellence, and has a solid track record of exceeding client expectations for quality, service, and respect.

We are small enough to offer you the personalized service you are looking for. To us, you're more than just a number - we know your dreams and your goals and develop individual strategies to get you where you want to go. Welcome to SW Financial.

broker dealer clearing firm

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.

broker dealer clearing firm

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.

COR Clearing

COR Clearing began as part of the Mutual of Omaha and evolved into the independent execution, clearing, settlement and custody platform known as Legent Clearing. Initially serving clients principally located in the Midwest, the firm expanded and developed its services to support a wide range of broker dealer clients in the USA and abroad. In 2011, Legent was acquired by COR Securities Holdings Inc. and in 2012 became COR Clearing LLC.

COR Clearing’s parent, COR Securities Holdings Inc., is led by a group of executives and industry leaders, including the former Chairman of Pershing, a former Senior Managing Director Bear Steams Clearing, the former Financial Services Group President at ADP Clearing, and the former President of Sterne Agee Clearing.

COR Clearing’s Omaha headquarters continues to provide its clients high standards for service and reduced operating expenses that benefit their correspondent partners. As a leading independent securities clearing firm, COR Clearing is an excellent choice of partner for broker-dealers who seek a clearing firm singularly focused on serving broker-dealers.

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
Cor Clearing
1200 Landmark Center, Ste. 800
Omaha, NE 68102-1916
402-384-6100 or
800-811-3487