Jim Swartwout, Prosperum CEO on Avant Garde Trading Securities: “By aligning the level of involvement and support with the trader’s comfort and skill level, Avant-Garde Trading helps clients engage the markets with clarity, structure, and confidence—whether they are seasoned market participants or just beginning their trading journey.”

The Silicon Review

Prosperum Fintech Holdings – Avant Garde Trading Securities entered the brokerage landscape with a clear goal: bring a higher level of service, technology, and strategic support to everyday investors. Prosperum Fintech Holdings, parent company of Avant-Garde Trading Securities, is led by Doug Howe and Jim Swartwout. Avant Garde Trading Securities publicly launched on June 1, 2025 and is headquartered at 30 S Wacker Drive Suite 2840 in Chicago. The company operates at the intersection of fintech innovation and modern brokerage services, delivering a platform designed to meet the evolving needs of today’s investors.

From the beginning, Prosperum’s leaders identified a gap in the brokerage industry. Many large firms focused heavily on scale, often leaving clients with limited access to personalized service or professional guidance. Avant Garde Trading Securities set out to change that dynamic. By combining experienced brokers with advanced technology, the firm created a platform that delivers institutional level capabilities while remaining accessible to retail investors. The approach is simple but powerful: meet clients where they are, whether they prefer full independence or broker assisted support, and provide tools that make complex market strategies easier to navigate. The platform is built primarily for retail investors but also serves fintech and AI driven partners through B2B and B2B2C relationships. Its trading environment allows clients to engage the markets through a streamlined digital experience, offering access to stocks, options, and futures with competitive pricing and fast execution. What sets the firm apart is its flexibility. Clients can operate fully self-directed, rely on broker guidance, or combine both approaches depending on their trading style and goals.

One of the firm’s most distinctive offerings is its Letter of Direction service. This feature allows clients to authorize the execution of complex strategies; including options based approaches, without having to manage every trade themselves. For many investors, this creates a more structured and hands off way to pursue market opportunities while still maintaining control over their overall objectives. The platform also supports program trading linked to third party newsletter strategies, giving traders the ability to follow disciplined, rules based systems.

As a member of FINRA and SIPC, Avant Garde Trading Securities pairs regulatory credibility with modern trading infrastructure. Clients benefit from discounted commissions, access to a professional trade desk, and a steady flow of educational webinars and market events designed to strengthen trading knowledge. The firm has also expanded its offerings to include private placement opportunities for accredited investors, further broadening the range of investment pathways available on the platform. Through this blend of technology, human expertise, and strategic services, Avant Garde Trading Securities is positioning itself as a forward looking brokerage built for a new generation of market participants.

In conversation with Jim Swartwout, CEO of Prosperum Fintech Holdings, parent of AGTS

You offer three distinct trading experiences Self-Directed, Broker-Assisted, and Program Trading. How does this multi-access model empower traders of different skill levels to navigate the markets with confidence?

Avant-Garde Trading Securities empowers traders by recognizing that no two investors have the same experience level, time commitment, or preferred approach to the markets. Its three distinct trading experiences—Self-Directed, Broker-Assisted, and Program Trading—create a flexible ecosystem where clients can participate in a way that matches their confidence and expertise.

With Self-Directed trading, experienced investors maintain full control over their decisions, strategies, and execution. This model is ideal for independent traders who want autonomy, fast access to the markets, and the ability to act on their own research without interference.

For those who value professional support, Broker-Assisted trading provides access to licensed representatives who can help execute trades and offer operational guidance. This structure adds a layer of reassurance, particularly for newer traders or those placing more complex orders, helping reduce execution errors while maintaining client control over strategy.

Program Trading offers a more structured path by allowing clients to authorize trade execution based on predefined third-party newsletter strategies. This model can be especially empowering for individuals who want market participation but prefer a disciplined, rules-based approach rather than making real-time decisions themselves.

Together, this multi-access framework removes the “one-size-fits-all” barrier that often limits traditional brokerage models. By aligning the level of involvement and support with the trader’s comfort and skill level, Avant-Garde Trading helps clients engage the markets with clarity, structure, and confidence—whether they are seasoned market participants or just beginning their trading journey.

With futures and commodities offered through AGT Futures (as branch of Capital Trading Group Member NFA) and securities through Prosperum Securities dba Avant-Garde Trading Securities (Member FINRA/SIPC), how does your dual-registered structure provide traders with a more comprehensive suite of investment products?

Avant-Garde Trading Securities leverages a dual-registered structure to provide clients with broader market access under one coordinated ecosystem. By offering futures and commodities through AGT Futures (via Capital Trading Group, a member of the National Futures Association) and securities through Avant Garde Trading Securities (a member of FINRA and SIPC), traders gain access to multiple asset classes within a regulated and structured framework.

This multi-entity model allows clients to diversify across equities, options, futures, and commodities while maintaining the confidence that each segment operates under its respective regulatory oversight. Rather than limiting traders to a single asset class, the structure supports broader portfolio strategies—whether hedging equity positions with futures, speculating on commodities, or integrating options into stock-based approaches.

The result is a more comprehensive investment experience: traders can pursue opportunity across markets, adapt to changing conditions, and implement multi-asset strategies.

You mention Cryptocurrency Trading is “Coming Soon.” How do you see digital assets fitting into the future of your firm and the broader trading landscape?

At Avant-Garde Trading Securities, the introduction of Cryptocurrency Trading represents a natural evolution of both our platform and the broader trading ecosystem. Digital assets have moved from niche speculation to an increasingly recognized asset class, attracting participation from retail traders, institutions, and global financial firms alike. As markets continue to modernize, access to crypto is becoming an expected component of a comprehensive trading experience.

From a firm perspective, integrating digital assets expands opportunity and diversification for our clients. Cryptocurrency markets operate with unique volatility, liquidity cycles, and macro correlations that can complement traditional equities, options, and futures strategies. By offering crypto alongside existing asset classes, we aim to provide traders with a unified environment where they can adapt to shifting market trends without fragmenting their capital across multiple platforms.

More broadly, the future of trading is defined by accessibility, speed, and multi-asset flexibility. Digital assets are part of that transformation. As blockchain technology, tokenization, and decentralized finance continue to evolve, we see cryptocurrency not as a separate silo, but as an integrated component of the modern trading landscape—one that supports innovation, diversification, and expanded market participation.

What does the future hold for your company and its customers? Are exciting things on the way?

At Avant-Garde Trading Securities, the future is centered on expansion, innovation, and delivering even greater value to our clients. As markets evolve, so do trader expectations—and we’re committed to staying ahead by enhancing technology, broadening product access, and continuing to refine the client experience.

Exciting developments are on the horizon. From the upcoming launch of Cryptocurrency Trading, Prediction Markets Trading, as well as platform upgrades designed to improve speed, functionality, and analytics, our focus is on building a true AI enabled multi-asset ecosystem. We’re also investing in deeper educational resources, expanded program trading opportunities, and enhanced tools that support both independent and professionally assisted traders.

For our customers, that means more flexibility, more opportunity, and more control. Whether they are just beginning their trading journey or actively managing sophisticated strategies, our goal is to provide a platform that grows with them. The future holds greater access, smarter technology, and a continued commitment to transparency and execution quality—because when our clients evolve, we evolve with them.

Meet the key executives of the company Avant Garde Trading Securities

Jim Swartwout, CEO, Prosperum Fintech Holdings

Jim Swartwout is a visionary leader driving a new era of innovation and client-first fintech at Prosperum Fintech Holdings, where he serves as Chief Executive Officer. With a deep track record spanning the brokerage and financial technology landscape, Jim brings decades of strategic leadership from senior roles at major firms—including E*TRADE, Scottrade and most recently as President of Robinhood Securities and Robinhood Financial. His experience navigating complex markets and scaling high-growth businesses positions him uniquely to lead Prosperum into its next chapter of innovation and expansion.

Under Jim’s leadership, Prosperum is transforming how individuals and institutions engage with financial markets by uniting cutting-edge technology, diversified trading products, and mission-driven service. He champions a culture of innovation that embraces AI-driven tools, educational resources, and seamless multi-asset access—empowering traders of all levels to participate confidently and efficiently. With a bold vision for the future of digital finance, Jim is steering Prosperum toward broader global impact while redefining the standards of accessibility, transparency, and performance in fintech.

Doug Howe, Co-Founder/CEO TACOai

Doug Howe is a seasoned technology visionary and co-founder of Prosperum Fintech Holdings, leading the charge as CEO of TACOai — the company’s artificial intelligence and machine-learning engine powering next-generation fintech innovation. After a distinguished 25-year career at Microsoft as Director, Architect, and Principal Software Engineer, Doug brings deep expertise in building high-velocity, scalable technology platforms that solve complex problems at the intersection of finance, software, and data science. His leadership reflects a rare blend of technical mastery and entrepreneurial drive, positioning TACOai and the broader Prosperum ecosystem at the forefront of change.

Under Doug’s direction, TACOai is reinventing how financial technology and brokerage services are delivered — using cutting-edge AI to enhance user experiences, streamline workflows, and unlock smarter decision-making for traders and businesses alike. His vision has already translated into industry recognition, including integration with the Microsoft for Startups Founders Hub and awards for AI-enabled trading technology that raise the bar for what traders can expect from digital platforms. With a relentless focus on innovation and practical impact, Doug is not just shaping the future of fintech — he’s creating it.