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  5. SWAN FINANCIAL CORPORATION

SWAN FINANCIAL CORPORATION

Headquarter

Company Details

Name: SWAN FINANCIAL CORPORATION
Legal type: Kentucky Corporation
Status: Active
Standing: Good
Profit or Non-Profit: Profit
File Date: 10 Oct 2003 (21 years ago)
Organization Date: 10 Oct 2003 (21 years ago)
Last Annual Report: 07 Jan 2025 (2 months ago)
Organization Number: 0569822
Industry: Non-Depository Credit Institutions
Number of Employees: Medium (20-99)
ZIP code: 40222
City: Louisville, Bancroft, Bellemeade, Crossgate, Glenvie...
Primary County: Jefferson County
Principal Office: 320 WHITTINGTON PKWY, STE 106, LOUISVILLE, KY 40222
Place of Formation: KENTUCKY
Authorized Shares: 1000

Links between entities

Type Company Name Company Number State
Headquarter of SWAN FINANCIAL CORPORATION, ALASKA 83259F ALASKA
Headquarter of SWAN FINANCIAL CORPORATION, MINNESOTA 5e93cf38-87d4-e011-a886-001ec94ffe7f MINNESOTA
Headquarter of SWAN FINANCIAL CORPORATION, ALABAMA 000-942-790 ALABAMA
Headquarter of SWAN FINANCIAL CORPORATION, COLORADO 20031339061 COLORADO
Headquarter of SWAN FINANCIAL CORPORATION, CONNECTICUT 0763888 CONNECTICUT
Headquarter of SWAN FINANCIAL CORPORATION, FLORIDA F03000005431 FLORIDA

form 5500

Plan Name Plan Year EIN/PN Received Sponsor Total number of participants
SWAN FINANCIAL RETIREMENT TRUST 2023 030529199 2024-04-16 SWAN FINANCIAL 19
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2013-01-01
Business code 541600
Sponsor’s telephone number 5027531360
Plan sponsor’s address 320 WHITTINGTON PARKWAY, LOUISVILLE, KY, 402224928

Signature of
Role Plan administrator
Date 2024-04-16
Name of individual signing YVONNE FRY
Valid signature Filed with authorized/valid electronic signature
SWAN FINANCIAL RETIREMENT TRUST 2022 030529199 2023-03-01 SWAN FINANCIAL 21
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2013-01-01
Business code 541600
Sponsor’s telephone number 5027531360
Plan sponsor’s address 320 WHITTINGTON PARKWAY, LOUISVILLE, KY, 402224928

Signature of
Role Plan administrator
Date 2023-03-01
Name of individual signing YVONNE FRY
Valid signature Filed with authorized/valid electronic signature
SWAN FINANCIAL RETIREMENT TRUST 2021 030529199 2022-11-30 SWAN FINANCIAL 17
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2013-01-01
Business code 541600
Sponsor’s telephone number 5027531360
Plan sponsor’s address 320 WHITTINGTON PARKWAY, LOUISVILLE, KY, 402224928

Signature of
Role Plan administrator
Date 2022-11-30
Name of individual signing YVONNE FRY
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2022-11-30
Name of individual signing YVONNE FRY
Valid signature Filed with authorized/valid electronic signature
SWAN FINANCIAL RETIREMENT TRUST 2020 030529199 2021-05-04 SWAN FINANCIAL 26
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2013-01-01
Business code 541600
Sponsor’s telephone number 5027531360
Plan sponsor’s address 320 WHITTINGTON PARKWAY, LOUISVILLE, KY, 402224928

Signature of
Role Plan administrator
Date 2021-05-04
Name of individual signing YVONNE FRY
Valid signature Filed with authorized/valid electronic signature
SWAN FINANCIAL RETIREMENT TRUST 2019 030529199 2020-03-25 SWAN FINANCIAL 28
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2013-01-01
Business code 541600
Sponsor’s telephone number 5027531360
Plan sponsor’s address 320 WHITTINGTON PARKWAY, LOUISVILLE, KY, 402224928

Signature of
Role Plan administrator
Date 2020-03-25
Name of individual signing YVONNE FRY
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2020-03-25
Name of individual signing YVONNE FRY
Valid signature Filed with authorized/valid electronic signature
SWAN FINANCIAL RETIREMENT TRUST 2018 030529199 2020-03-25 SWAN FINANCIAL 28
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2013-01-01
Business code 541600
Sponsor’s telephone number 5027531360
Plan sponsor’s address 320 WHITTINGTON PARKWAY, LOUISVILLE, KY, 402224928

Signature of
Role Plan administrator
Date 2020-03-25
Name of individual signing YVONNE FRY
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2020-03-25
Name of individual signing YVONNE FRY
Valid signature Filed with authorized/valid electronic signature
SWAN FINANCIAL RETIREMENT TRUST 2017 030529199 2020-03-25 SWAN FINANCIAL 31
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2013-01-01
Business code 541600
Sponsor’s telephone number 5027531360
Plan sponsor’s address 320 WHITTINGTON PARKWAY, LOUISVILLE, KY, 402224928

Signature of
Role Plan administrator
Date 2020-03-25
Name of individual signing YVONNE FRY
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2020-03-25
Name of individual signing YVONNE FRY
Valid signature Filed with authorized/valid electronic signature
SWAN FINANCIAL RETIREMENT TRUST 2016 030529199 2020-03-25 SWAN FINANCIAL 33
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2013-01-01
Business code 541600
Sponsor’s telephone number 5027531360
Plan sponsor’s address 320 WHITTINGTON PARKWAY, LOUISVILLE, KY, 402224928

Signature of
Role Plan administrator
Date 2020-03-25
Name of individual signing YVONNE FRY
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2020-03-25
Name of individual signing YVONNE FRY
Valid signature Filed with authorized/valid electronic signature
SWAN FINANCIAL RETIREMENT TRUST 2015 030529199 2016-07-23 SWAN FINANCIAL 12
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2013-02-01
Business code 541600
Sponsor’s telephone number 5027531341
Plan sponsor’s address 320 WHITTINGTON PKWY, SUITE 106, LOUISVILLE, KY, 40222

Signature of
Role Plan administrator
Date 2016-07-23
Name of individual signing RACHELLE JOHNSON
Valid signature Filed with authorized/valid electronic signature
SWAN FINANCIAL RETIREMENT TRUST 2014 030529199 2015-07-14 SWAN FINANCIAL 11
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2013-02-01
Business code 541600
Sponsor’s telephone number 5027531341
Plan sponsor’s address 320 WHITTINGTON PKWY, SUITE 106, LOUISVILLE, KY, 40222

Signature of
Role Plan administrator
Date 2015-07-14
Name of individual signing THELMA JOHNSON
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2015-07-14
Name of individual signing THELMA JOHNSON
Valid signature Filed with authorized/valid electronic signature
File https://efast2-filings-public.s3.amazonaws.com/prd/2014/10/07/20141007130209P030014591181001.pdf
Three-digit plan number (PN) 001
Effective date of plan 2013-02-01
Business code 541600
Sponsor’s telephone number 5027531341
Plan sponsor’s address 320 WHITTINGTON PKWY, SUITE 106, LOUISVILLE, KY, 40222

Signature of
Role Plan administrator
Date 2014-10-07
Name of individual signing RANDY RAQUE
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2014-10-07
Name of individual signing RANDY RAQUE
Valid signature Filed with authorized/valid electronic signature

Director

Name Role
David Randall Raque Director
Thomas Edward Sexton Director

Vice President

Name Role
David Randall Raque Vice President

Registered Agent

Name Role
Thomas Sexton Registered Agent

Incorporator

Name Role
RANDY RAQUE Incorporator

President

Name Role
Thomas Edward Sexton President

Licenses

Department License Number License Type / Line of Authority Status Issue Date Effective Date Inactive Date Expiry Date Address
Department of Financial Institutions ME12078 HUD Closed - Surrendered License - - - - -
Department of Financial Institutions MB19421 Mortgage Broker Current - Licensed - - - - 320 Whittington Pkwy.Ste. 106Louisville , KY 40222
Department of Financial Institutions MB365938 Mortgage Broker Closed - Surrendered License - - - - 8383 Craig Street, Suite #330 - 1450 SF SuiteIndianapolis , IN 46250
Department of Financial Institutions MB429282 Mortgage Broker Closed - Expired - - - - 1901 Island Walk Way, Ste 112Fernandina , FL 32034
Department of Financial Institutions MB7646 Mortgage Broker Closed - Surrendered License - - - - 9500 Williamsburg PlazaLouisville , KY 40222

Assumed Names

Name Status Expiration Date
SWAN FINANCIAL HOME LOANS Active 2027-04-12
THE MORTGAGE DEPARTMENT Inactive 2012-03-27

Filings

Name File Date
Annual Report 2025-01-07
Annual Report 2024-01-29
Registered Agent name/address change 2023-02-21
Annual Report 2023-02-21
Annual Report 2022-04-12
Certificate of Assumed Name 2022-04-12
Annual Report 2021-03-01
Annual Report 2020-06-03
Annual Report 2019-04-23
Annual Report 2018-04-12

CFPB Complaint

Complaint Id Date Received Issue Product
1393445 2015-05-27 Credit decision / Underwriting Mortgage
Issue Credit decision / Underwriting
Timely Yes
Company Swan Financial Corporation
Product Mortgage
Sub Product FHA mortgage
Date Received 2015-05-27
Submitted Via Web
Company Response Closed with explanation
Consumer Disputed No
Date Sent To Company 2015-05-29
Company Public Response Company believes complaint caused principally by actions of third party outside the control or direction of the company
Consumer Consent Provided Consent not provided
446570 2013-07-01 Application, originator, mortgage broker Mortgage
Issue Application, originator, mortgage broker
Timely Yes
Company Swan Financial Corporation
Product Mortgage
Sub Product FHA mortgage
Date Received 2013-07-01
Submitted Via Web
Company Response Closed with explanation
Consumer Disputed No
Date Sent To Company 2013-08-02
Consumer Consent Provided N/A
3193497 2019-03-28 Applying for a mortgage or refinancing an existing mortgage Mortgage
Tags Servicemember
Issue Applying for a mortgage or refinancing an existing mortgage
Timely No
Company Swan Financial Corporation
Product Mortgage
Sub Product Conventional home mortgage
Date Received 2019-03-28
Submitted Via Web
Company Response Closed with explanation
Consumer Disputed N/A
Date Sent To Company 2019-03-28
Company Public Response Company can't verify or dispute the facts in the complaint
Complaint What Happened I have spoken with a banker at swan Financial and every time I try and get answers they make me call their cell phone. My realtor also stated if I use them I will get lower costs and they will cut certain fees using them. This is making me so uncomfortable that I do not know what to do.
Consumer Consent Provided Consent provided
4315922 2021-04-21 Improper use of your report Credit reporting, credit repair services, or other personal consumer reports
Issue Improper use of your report
Timely Yes
Company Swan Financial Corporation
Product Credit reporting, credit repair services, or other personal consumer reports
Sub Issue Credit inquiries on your report that you don't recognize
Sub Product Credit reporting
Date Received 2021-04-21
Submitted Via Web
Company Response Closed with explanation
Consumer Disputed N/A
Date Sent To Company 2021-04-21
Company Public Response Company believes the complaint provided an opportunity to answer consumer's questions
Consumer Consent Provided Consent not provided

Paycheck Protection Program

Loan Number Loan Funded Date SBA Origination Office Code Loan Delivery Method Borrower Street Address
3106067101 2020-04-11 0457 PPP 320 WHITTINGTON PKWY STE 106, LOUISVILLE, KY, 40222-4917
Loan Status Date 2021-04-16
Loan Status Paid in Full
Loan Maturity in Months 24
SBA Guaranty Percentage 100
Loan Approval Amount (at origination) 353000
Loan Approval Amount (current) 353000
Undisbursed Amount 0
Franchise Name -
Lender Location ID 27542
Servicing Lender Name Republic Bank & Trust Company
Servicing Lender Address 601 W Market St Republic Corporate Center, LOUISVILLE, KY, 40202
Rural or Urban Indicator U
Hubzone N
LMI N
Business Age Description Existing or more than 2 years old
Project Address LOUISVILLE, JEFFERSON, KY, 40222-4917
Project Congressional District KY-03
Number of Employees 22
NAICS code 522310
Borrower Race Unanswered
Borrower Ethnicity Unknown/NotStated
Business Type Corporation
Originating Lender ID 27542
Originating Lender Name Republic Bank & Trust Company
Originating Lender Address LOUISVILLE, KY
Gender Unanswered
Veteran Unanswered
Forgiveness Amount 356118.17
Forgiveness Paid Date 2021-03-05

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Thomas Edward Sexton

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RANDY RAQUE

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Related by address

No related companies by address

Sources: Kentucky Secretary of State

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