Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Swingler is a financial advisor with over 40 years of experience. Alan is a CERTIFIED FINANCIAL PLANNER™ professional and currently registered as an investment advisor representative with Cetera Investment Advisers LLC. Cetera Investment Advisers LLC is a financial services firm providing financial planning and portfolio management services to individuals, families, and businesses. Alan has held previous roles with a number of firms including National Planning Corporation, Primevest Financial Services, Inc. and American Express Financial Advisors Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
IN
06/16/2022 - Present
Cetera Investment Advisers LLC (HIGHLAND IN)
CA
11/12/1999 - 09/30/2004
NATIONAL PLANNING CORPORATION (LOS ANGELES CA)
MN
11/02/1995 - 11/16/1999
PRIMEVEST FINANCIAL SERVICES, INC. (ST. CLOUD MN)
NY
10/13/1994 - 10/18/1995
WALL STREET INVESTOR SERVICES (NEW YORK NY)
NA
06/28/1994 - 07/05/1994
NATIONAL CITY INVESTMENTS CORPORATION
NY
05/16/1994 - 06/29/1994
WALL STREET INVESTOR SERVICES (NEW YORK NY)
MN
10/13/1984 - 05/16/1994
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
NA
10/13/1984 - 12/24/1986
IDS FINANCIAL SERVICES INC.
NA
07/08/1983 - 10/15/1984
PRUCO SECURITIES CORPORATION
BC
Issued 8/25/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 2/26/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 11/10/1995
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/1985
Series 7 - General Securities Representative Examination
BC
Issued 3/27/1985
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 6/28/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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