Phil Swatzell

Phil Swatzell

Phil Swatzell is a Bates Group Expert, where he utilizes his 35+ years of experience in the financial services industry to help clients.  Mr. Swatzell’s focuses are Institutional Sales, Private Banking and Wealth Management, Branch Management, Sales Supervision, Recruiting, Compliance and Legal, Branch Operations and Controls, Branch Supervision, and Investment Advisory.

Prior to joining CrossFirst Bank in October 2016 to establish a new regional commercial bank in the Dallas, Texas, market Mr. Swatzell was Managing Director of Credit Suisse Private Banking and Wealth Management in Dallas from 2007 to 2016 responsible for the Southwest Region.  His primary focus was building out a private wealth management business in Dallas and opening a new regional Private Banking and Wealth Management office in the Houston market.  Over the next nine years the revenues of the two offices went from $10 million in annual revenues to $85 million in revenues due to the recruiting success by Mr. Swatzell of over 25 brokers and private bankers.  He recruited from both protocol and non-protocol firms.  The brokers he recruited ranged from $1 million to $5 million in annual revenues when they joined his team.

Before Credit Suisse, he was a Managing Director of US Trust in Dallas from 2004-2007.  From 1998 to 2004, Mr. Swatzell was Manager Director and Partner of a start-up investment firm in Chicago, Dearborn Partners. There he focused on client acquisition and managed portfolios of large cap growth equities and fixed income securities for high net worth individuals, families and foundations. 

Mr. Swatzell began his career in Dallas, Texas, with the Investment Banking firm Salomon Brothers where he spent 15 years between Dallas and Chicago.  His primary focus there was serving institutional clients selling equities and fixed income securities and eventually managed a Pension and Insurance Group.  He later joined First Boston Corporation in Chicago as a Producing Manager and Head of their Private Client Group where he recruited and managed 8 brokers, mostly from Goldman Sachs, Bear Sterns, and Paine Weber. 

He received a B.A. in Finance from Texas Tech University.  He is married to Michelle, and they have three children and eight grandchildren.  Phil serves on the board of several non-profits that are focused on poverty alleviation, human rights, and serving people in the workplace. 


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Phil Swatzell

A Consultant and subject matter expert in these services:

  • Securities and Financial Services Litigation & Consulting
    • Retail
      • Securities and Financial Services Litigation & Consulting
      • Branch Management
      • Capital Markets
      • Equities
      • Equity Research
      • Fiduciary Duties/Responsibilities
      • Financial Analyst Responsibilities
      • Insider Trading
      • Investment Management
      • Mortgage Backed Securities (MBS)
      • Operations & Controls
      • Outside Business Activity
      • Private Equity
      • Private Placements
      • Sales Supervision
      • Sales Practice
      • Structured Products/Structured Notes
      • Suitability
      • Supervision
      • Wealth Management
      • Asset Backed Securities (ABS)
      • Capital Markets
      • Corporate Bonds
      • Corporate Debt
      • Equities
      • Equity Research
      • Financial Institution Sales
      • Fixed Income
      • IPO
      • Mortgages
      • Mortgage Backed Securities (MBS)
      • Municipal Securities
      • Relationship
      • Sales Process
    • Institutional
      • Securities and Financial Services Litigation & Consulting
      • Branch Management
      • Capital Markets
      • Equities
      • Equity Research
      • Fiduciary Duties/Responsibilities
      • Financial Analyst Responsibilities
      • Insider Trading
      • Investment Management
      • Mortgage Backed Securities (MBS)
      • Operations & Controls
      • Outside Business Activity
      • Private Equity
      • Private Placements
      • Sales Supervision
      • Sales Practice
      • Structured Products/Structured Notes
      • Suitability
      • Supervision
      • Wealth Management
      • Asset Backed Securities (ABS)
      • Capital Markets
      • Corporate Bonds
      • Corporate Debt
      • Equities
      • Equity Research
      • Financial Institution Sales
      • Fixed Income
      • IPO
      • Mortgages
      • Mortgage Backed Securities (MBS)
      • Municipal Securities
      • Relationship
      • Sales Process

Credentials

EXPERIENCE

Bates Group LLC, Affiliate Expert, 2018 - Present

CrossFirst Bank, Senior Advisor, Dallas, TX, 2016 - Present

Credit Suisse, Managing Director, Southwest Regional Manager, Dallas, TX, 2007 - 2016

US Trust Company, Managing Director, Dallas, TX, 2004 - 2007

Dearborn Partners, Partner and Managing Director, Chicago, IL, 1998 - 2004

First Boston Corporation, Director, Head of Private Client Group, Chicago, IL, 1992 - 1998

Salomon Brothers, Director, Private Investment Group, Chicago, IL, 1990 - 1992

Salomon Brothers, Director, Institutional Sales, Chicago, IL, 1987 - 1990

Salomon Brothers, Director, Institutional Sales, Dallas, TX, 1978 - 1987

Gardner Denver Company, Financial Analyst, Dallas, TX, 1975 - 1978

EDUCATION

Bachelors Finance and Economic, Texas Tech University, Lubbock, TX

PROFESSIONAL LICENSES

FINRA Series: 7, 24, 63

VOLUNTEER EXPERIENCE

DFW Metroplex Salvation Army, Advisory Board Member, Dallas, TX, 2010 - Present

Marketplace Chaplains, Board Member, 1985 - Present