Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alec? Claim Your ProfileAlec Gaston Swofford is a financial advisor with First Trust Advisors LP. Alec has been in the industry since June 2019, working previously at Advisors Asset Management, Inc. Alec holds the Series 7TO, SIE, and Series 66 licenses. Alec is registered in both Illinois and Texas. Alec specializes in providing portfolio management services for individuals, businesses, investment companies, and pooled investment vehicles.
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.
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.
Strategic management for diversified investment portfolios.
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.
A percentage of the total value of assets under management is charged.
Fixed fees per unit (uits) for portfolio supervisory services
1
2
TX
10/20/2021 - Present
First Trust Advisors LP (AUSTIN TX)
TX
06/14/2019 - 10/12/2021
ADVISORS ASSET MANAGEMENT, INC. (BOERNE TX)
BOTH
Issued 07/11/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/14/2019
Series 7TO - General Securities Representative Examination
BC
Issued 04/30/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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