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Amber Michelle Swartz

National Financial Services LLC

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About Amber Michelle Swartz

Amber Michelle Swartz is a registered representative with National Financial Services LLC. Amber has been in the industry since April 12, 2021. She holds the Series 99TO and SIE exams. Her firm is an active broker-dealer, but not currently an investment advisor. The firm is located in Westlake, Texas.

Firm Information

Amber Swartz is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Amber Swartz’s Registration & Firm History

TX

04/13/2021 - Present

National Financial Services LLC (WESTLAKE TX)

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Licenses & Designations

BC

Issued 04/13/2021

Series 99TO - Operations Professional Examination

BC

Issued 03/06/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Amber Michelle Swartz.
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