PLEASE NOTE: This is the absolute worst, most boring page on our entire website, but legally we have to provide it, so here it is. It's longer than War and Peace, so we suggest you use the text anchors below to find the information you're looking for.

SWBC Mortgage Corporation

Mortgage Licenses and Disclosures

Corporate Headquarters: 9311 San Pedro Avenue, Suite 100 San Antonio, TX 78216 210.826-6999 | 800.460.6990 NMLS #9741 Equal Housing Opportunity

SWBC Mortgage Corporation provides mortgage lending services in the following states:

  • Alabama: Consumer Credit License #20775
  • Alaska: Mortgage Broker/Lender License AK9741
  • Arkansas: Arkansas Combination Mortgage Banker, Broker Servicer License Number 101035
  • California: Licensed by the Department of Business Oversight under the California Residential Mortgage Lending Act (CRMLA); Residential Mortgage Lending License #4130449
  • Colorado: Mortgage Company Registration #9741
  • District of Columbia: District of Columbia Mortgage Dual Authority License MLB9741
  • Delaware: Mortgage Lender License #11254; Licensed by the Commissioner; License #11254 expiration date 12/31/2017
  • Florida: Mortgage Lender Servicer License number MLD 628
  • Georgia: Mortgage Lender License 15058, Georgia Residential Mortgage Licensee
  • Idaho: Mortgage Broker/Lender License #MBL-8178
  • Illinois: Residential Mortgage License MB.6760858; Illinois Residential Mortgage Licensee. Address and phone number of the Office of Commissioner: 100 West Randolph St. 9th floor, JR Thompson Center, Chicago, IL 60601. Attn: IDFPR-Mortgage Banking Examinations. 312-793-3000
  • Indiana: First Lien Mortgage Lending License 10985, Subordinate Lien Mortgage Lending License 17112
  • Iowa: Mortgage Banker License 2014-0021
  • Kansas: Kansas Licensed Mortgage Company; Mortgage Company License #MC.0025058
  • Kentucky: Mortgage Company License #MC21796
  • Louisiana: Residential Mortgage Lending License #2735
  • Maryland: Mortgage Lender License #8047
  • Michigan: Michigan 1st Mortgage Broker/Lender/Servicer Registrant FR0017728; Michigan 2nd Mortgage Broker/Lender/Servicer Registrant SR0017729
  • Mississippi: Mortgage Lender License 9741 Montana Mortgage Broker/Lender/Servicer license #9741
  • Nebraska: Mortgage Banker License NE9741
  • Nevada: Mortgage Broker License 4452
  • New Mexico: Mortgage Loan Company License #01026
  • North Carolina: Mortgage Lender License #L-147482
  • Oklahoma: Mortgage Lender license MLO02560 Oregon Mortgage Lending License ML-5247
  • Oregon: Mortgage Lending License ML-5247
  • Pennsylvania: Mortgage Lender License #56313
  • Tennessee: Mortgage Lender License 109242
  • Texas: Mortgage Banker Registration NMLS #9741; TX OCCC Regulated Loan License #9041
  • Utah: DRE Mortgage Entity License #6832265 DFI Residential First Mortgage Notification #9741
  • Virginia: Lender/Broker License MC-5516, licensed by the Virginia State Corporate Commission; NMLS#9741 (www.nmlsconsumeraccess.com)
  • West Virginia: Broker License MB-31643, Lender License ML-31464
  • Washington: Consumer Loan Company License #CL-9741
  • Wisconsin: Mortgage Banker LIcense 9741BA; Mortgage Broker License 9741BR

SWBC Mortgage Corporation is licensed by the Texas Department of Savings and Mortgage Lending. SWBC Mortgage Corporation is licensed under the laws of the state of Texas and by state law is subject to regulatory oversight by the Department of Savings and Mortgage Lending.



Loans are subject to credit and property approval. Other guidelines may apply. Rates are subject to change daily.

NMLS Consumer Access

Click here to visit the NMLS Consumer Access Site


Investment Services, LLC

9311 San Pedro, Suite 600 San Antonio, TX 78216 T (866) 884-2605 F (210) 525-9461

Securities offered through SWBC Investment Services, LLC, a registered broker/dealer. Member SIPC & FINRA. SWBC Investment Company is a Registered Investment Advisor. Neither SWBC Investment Services, LLC nor the financial professional provide tax advice. Please consult your tax professional for tax advice.

Notice of Privacy Promise

The Firm is providing this notice because you are a customer.

We are committed to keeping the personal information collected from our potential, current, and former customers confidential and secure. The proper handling of personal information is one of our highest priorities. We want to be sure that you know why we need to collect personal information from you. We also want to explain to you our commitment to protect the information you provide to us. We never sell your information to any outside parties.

Customer Information

We collect and keep only information that is necessary for us to provide services requested by you and to administer your business with us. We may collect nonpublic personal information:

  • From you when you complete an application, subscription documents or other forms. This includes information such as name, address, social security number, assets, income, net worth, and other information deemed necessary to evaluate your financial needs.
  • As a result of transactions with our affiliates, others or us. This could include transactions completed with us, information received from outside vendors to complete transactions, or to effect financial goals.

We verify our customers' identity to actively prevent, deter, and detect illegal financial activity.

As of October 2003, pursuant to the USA PATRIOT Act, all customers who open new accounts will be required to provide identification verification documents to help establish their identity. At a minimum, we will verify, to the extent reasonable and practical, the identity of any customer seeking to open an account, maintain records of information used to verify a customer's identity, and check to ensure that a customer does not appear on any published government terrorist lists.

Important Information about Procedures for Opening a New Account

To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. What this means for you: When you open account, we will ask for your name, address, date of birth, and other information that will allow us to identify you. We may also ask to see your driver's license or other identifying documents.

Sharing Information

We only share your nonpublic personal information with non-affiliated companies or individuals as permitted by law, such as your representative within our firm, securities clearing firm, issuer, mutual funds, insurance companies, and other product vendors, or to comply with legal or regulatory requirements. In the normal course of our business, we may disclose information we collect about you to companies or individuals that contract with us to perform servicing functions such as:

  • Record keeping
  • Computer related services
  • Good faith disclosure to regulators who have regulatory authority over the company
  • Companies we hire to provide support services are not allowed to use your personal information for their own purposes and are contractually obligated to maintain strict confidentiality. We limit their use of your personal information to the performance of the specific service we have requested.

We do not provide your personally identifiable information to mailing list vendors or solicitors for any purpose.

When we provide personal information to a service provider, we require these providers to agree to safeguard your information, to use the information only for the intended purpose, and to abide by applicable law.

Opt Out Provisions

WE do not sell your personal information to anyone.

The law allows you to "opt out" of only certain kinds of information sharing with third parties. The Firm does not share personal information about you with third parties that trigger this opt-out right. This means YOU ARE ALREADY OPTED OUT.

Employee Access to Information

Only employees with a valid business reason have access to your personal information. These employees are educated on the importance of maintaining the confidentiality and security of this information. They are required to abide by our information handling practices.

Protection of Information

We maintain security standards to protect your information, whether written, spoken, or electronic. We update and test our systems to ensure the protection and integrity of information.

Maintaining Accurate Information

Our goal is to maintain accurate, up-to-date customer records in accordance with industry standards. We have procedures in place to keep information current and complete, including timely correction of inaccurate information.

Disclosure of our Privacy Policy

We recognize and respect the privacy concerns of our potential, current and former customers. We are committed to safeguarding this information. As a member of the financial services industry, we are sending you this Notice of Privacy Policy for informational purposes and will update and distribute it as required by law. It is also available upon request.

Business Continuity Plan

SWBC INVESTMENT SERVICES, LLC has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us — If after a significant business disruption you cannot contact us as you usually do, you should call our alternative number 866-884-2605.

Our Business Continuity Plan — We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our clearing firm, National Financial Services LLC, backs up our important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, our clearing firm has advised us that its objective is to restore its own operations and be able to complete existing transactions and accept new transactions and payments within approximately a 4-24 hour time period. Your orders and requests for funds and securities could be delayed during this period.

Varying Disruptions — Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within approximately a 4-12 hour time period. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our customer emergency numbers, 210-525-1241 or 210-635-1200 how to contact us.

If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customers’ prompt access to their funds and securities.

For more information – If you have questions about our business continuity planning, you can contact us at 866-884-2605.

SEC Rule 606 Quarterly Report

Click here to view the report

Regarding Additional Compensation Received by SWBC Investment Services, LLC

SWBC Investment Services, LLC (“SWBC”) is providing this disclosure statement to assist you in evaluating investment options made available through the Firm’s representatives. The information provided is a general description of revenue payments and benefits that we receive in connection with providing certain investment related services to you. This notice may be changed periodically, and the most recent version will be posted on the Firm’s website, www.swbc.com, under “Investment Disclosures.” SWBC believes these arrangements do not compromise the advice your financial representative gives you. Through these arrangements SWBC receives varying amounts of payments known as marketing revenue from certain Insurance and Investment Companies. These payments could potentially create a conflict of interest because of the additional access to firm’s representatives as outlined below. These providers typically compensate SWBC in the form of a fixed-dollar commitment, payments based on sales or a combination of both. The amount of fixed-dollar revenue received from each provider may be based on the level of sponsorship selected by the provider on an annual basis. The list of such providers, provided below, may change from time to time.

Insurance Companies:

  • AIG
  • Allianz
  • American National
  • AXA
  • Borden Hamman
  • Brighthouse Financial
  • Jackson National
  • Pacific Life
  • Prudential

Mutual Fund:

  • Franklin Templeton Investments
  • Frost Investments
  • MFS
  • Oppenheimer Funds

In exchange for these payments received by the Firm, the providers receive enhanced access to your Representatives. Such access may include (i) the opportunity to speak at Firm conferences, presentations, meetings or events at which your Representative may be in attendance; (ii) increased prominence on internal communications, such as ads/logo’s in conference notebooks and internal advisor publications; and (iii) other opportunities to interact directly or indirectly with your Representative, beyond what other providers may enjoy. This access to your Representative provides these companies increased opportunities for marketing, educating and training Representatives about their services, which, in turn, may increase our Representatives’ knowledge and familiarity of their services versus other provider’s services. This may influence your Representative when making recommendations to you and other clients. Companies that do not provide this revenue may not receive the same level of access to our Representatives. Additionally, we may also use the payments to offset costs associated with conducting due diligence, operating the Firm, conducting other meetings/events, and as general revenue of the Firm.


Retirement Plan Services

Advisory services are offered by SWBC Investment Advisory Services, LLC, d/b/a SWBC Retirement Plan Services, a registered investment adviser with the Securities and Exchange Commission. Such registration in no way implies that the Securities and Exchange Commission approves or endorses SWBC Retirement Plan Services, its services, or any of its marketing materials.


SWBC Social Media Community Guidelines

SWBC participates in many online communities, including, but not limited to, Facebook, Twitter, LinkedIn, and YouTube (referred to as the “SWBC Sites”). We want these to be places where people can share, discuss, and discover information and ideas. In keeping with the spirit of these communities, these Social Media Community Guidelines (“Guidelines”) are intended to ensure the SWBC Sites remain a place everyone can enjoy.

By using SWBC Sites, you are agreeing to the Guidelines. SWBC reserves the right to change the Guidelines at any time in its sole discretion. The most current guidelines will be available to you online..

Public Comments:

We do not verify information posted by participants on SWBC Sites. The images, videos, comments, opinions, and statements posted on SWBC Sites do not reflect the views, policies, procedures, or practices of SWBC unless they are posted by an authorized SWBC representative. All participants are individually responsible for the information posted.

Removal of Posts:

Our goal is to provide an open, engaging forum for everyone involved. For that reason, we reserve the right to delete or hide posts for any reason, and if an individual’s disruptive behavior persists, to block that user from participating on SWBC Sites. Please note, we cannot accept posts from individuals under the age of 13.

We reserve the right to remove posts that, in the sole judgment of SWBC, are or include:

  • Spam, trolling, and/or comments that are repetitive or otherwise irrelevant to the conversation.
  • Comments focused on selling a product or service; comments posted to drive traffic to a particular website for personal, political, or monetary gain; or comments intended to advocate for competing companies.
  • Off-topic comments not related to the subject of the conversation.
  • Personal attacks or comments using profanity or language that is violent, disruptive, harassing, false, misleading, defamatory, abusive, racist, obscene or abusive, or suggestions of illegal activity
  • Private or confidential information such as account details or other personal information.
  • Comments concerning threatened or actual litigation or disputes between you and any other person or entity.
  • Posts that do not abide by copyright, trademark, financial reporting, or other laws or regulations. This includes images that may be used as avatars or other images protected by copyright or trademark laws.
  • Unsafe links that contain viruses or malicious software.

SWBC Employees:

SWBC employees are subject to all SWBC Corporate Policies, guidelines, procedures, and practices.

Public Links:

  • An SWBC Site may offer links to content from other websites, applications, or services. SWBC offers these links as a convenience to you.
  • SWBC makes no representation regarding the content, validity, or accuracy of any non-SWBC website that you may access through an SWBC Site.
  • SWBC does not monitor and is not responsible for the content found on non-SWBC websites that are linked from any SWBC Site.
  • Inclusion of links on any SWBC Site does not imply endorsement, recommendation, or sponsorship for any linked website or the services, products, or advice described on the site.

Protect Your Personal Information:

Remember that SWBC Sites are public forums and not private communications. You have no expectation of privacy as to any information you place on SWBC Sites. Please do not post personal information, such as your address, your phone number, or your email address. Please do not post any policy numbers, account numbers, or claim numbers.

You Are Responsible for Your Actions:

  • Information posted on an SWBC Site is in the public domain. If you post information on an SWBC Site, you do so at your own risk. You are solely responsible for the content that you post. By posting content on an SWBC Site, you warrant that you have permission to post the content on the SWBC Site.
  • If another party makes a claim against SWBC that is related to the comments you submit, to your actions, or to your use of SWBC Sites, you agree to indemnify and hold SWBC, and its subsidiaries, affiliates, officers, agents, employees, partners, and licensors harmless from those claims or demands, which may include reasonable attorneys’ fees.

Be Honest, Be Yourself:

  • The community is intended to be used for the helpful exchange of information between members. False, inaccurate, or otherwise misleading information is not helpful. Please be sincere in your community participation by only contributing content you know is accurate and not misrepresenting your identity or your business qualifications.
  • Do not register as or on behalf of anyone else; impersonate anyone else; seek to take on a false identity; or misrepresent yourself, your identity, or your age.

Be Courteous:

The purpose of our communities is to share and inform. By sharing what you know, you can make a positive contribution to our communities. Differences of opinion are welcome; do not post anything that is obscene or that harasses, abuses, bullies, or threatens others or that is intended to harass, abuse, bully, or threaten others. Personal attacks on other participants are not permitted. Please be kind and respectful of others in your comments and posts. Vulgarity, profanity, offensive material, inflammatory statements, and obscenity are prohibited.

Use of Content Posted on SWBC Sites:

  • SWBC may reproduce your comments for business purposes. When you comment on an SWBC Site, you are allowing SWBC, and its licensees and affiliates, to have a permanent right to use your comments for SWBC business purposes. This could include using, distributing, republishing, reproducing, changing, or displaying the comments on this site or in any other form or forum.
  • By providing information or materials to a Site, you grant to SWBC an unrestricted, irrevocable, worldwide, royalty-free license to use, reproduce, display, publicly perform, and transmit such information and materials for any purpose, including without limitation, disclosing any such information and materials as necessary to satisfy any law, regulation, or governmental request. By posting content to a Site, you are granting to SWBC an irrevocable, perpetual, royalty-free, license to publish, display, distribute, or otherwise use the content for any purpose, in any manner and in any media, and without consideration paid to you.

Not Endorsing Products or Services:

From time to time, we may share items or talk about products or services we think are interesting. This does not mean we are agreeing or supporting a point of view or endorsing a product or service, and we do not guarantee the accuracy of content not posted by us.

Third-Party Disclaimer:

  • The terms, conditions, and policies that belong to specific social networks, such as Twitter, Facebook or LinkedIn, also apply to any SWBC Sites housed on those networks. It is important that you follow these terms and conditions, as well as ours. To abide by the rules of the provider of the social media platform, it is your responsibility to know all of the provider’s rules. While SWBC has profiles on a number of social networks, this does not mean that we are endorsing their products or services.
  • If you can’t access the social network at all, it is up to the individual social network to fix this, and it isn’t something that we can resolve. If you are not able to use or access SWBC Sites, or websites linked to them, while we will do our best to fix any problems, we are not responsible for any problems this causes.

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