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Darlene Flores Swatik

U.s. Bancorp Advisors, LLC

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About Darlene Flores Swatik

Darlene Flores Swatik is a registered investment advisor representative with U.S. Bancorp Advisors, LLC. Darlene has been in the securities industry since 2001. Darlene holds the Series 7, Series 63, and Series 65 licenses. Darlene is also a Certified Financial Planner and a Chartered Financial Consultant. Darlene is registered with the states of Arizona, California, Florida, Georgia, Hawaii, Michigan, Nevada, North Carolina, Oregon, Texas, and Utah.

Firm Information

Darlene Swatik is currently registered with U.s. Bancorp Advisors, LLC. U.S. Bancorp Advisors, LLC, is a Limited Liability Company registered with the SEC and in all 50 states, as well as the Virgin Islands. Formed in 2004, the firm provides portfolio management services for individuals, businesses, and investment companies, and offers a wrap fee program. They also assist clients with the selection of other advisors. The firm currently manages over $1.38 billion in regulatory assets under management.
U.s. Bancorp Advisors, LLC

800 N. BRAND BOULEVARD

GLENDALE, CA 91203

$1.39B

Assets Under Management

Not reported

Total Clients

171

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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percentage of assets

A percentage of the total value of assets under management is charged.

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Darlene Swatik’s Registration & Firm History

CA

01/07/2021 - Present

U.s. Bancorp Advisors, LLC (TORRANCE CA)

CA

05/02/2009 - 07/31/2009

CHASE INVESTMENT SERVICES CORP. (TORRANCE CA)

CA

12/03/2004 - 05/02/2009

WAMU INVESTMENTS, INC. (TORRANCE CA)

NY

08/26/2003 - 11/16/2004

CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)

CA

07/05/2001 - 08/13/2003

WM FINANCIAL SERVICES, INC. (IRVINE CA)

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Licenses & Designations

IA

Issued 04/28/2004

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/27/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/02/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Darlene Flores Swatik. Review regulatory record here.
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