Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen S. Swingle is an Investment Advisor Representative with Principal Securities, Inc., a broker-dealer registered with the Securities and Exchange Commission. Stephen has been in the financial services industry since 2011. He is a registered representative in North Carolina and holds the Series 6, Series 63, and Series 65 licenses, as well as the SIE exam. Stephen is also a bank officer with Principal Bank and Principal Trust Company, allowing him to support and manage client relationships across both the insurance/broker-dealer and bank/trust offerings of Principal.
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.
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.
Seminar fees, solicitors fees, subscription consulting fees
1
2
IA
02/22/2018 - Present
Principal Securities, Inc. (DES MOINES IA)
NC
02/22/2016 - 12/22/2016
LPL FINANCIAL LLC (CHARLOTTE NC)
NC
10/08/2010 - 01/25/2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)
SC
01/12/2009 - 09/01/2009
NYLIFE SECURITIES LLC (GREENVILLE SC)
IA
Issued 09/23/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/07/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/09/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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