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Steven Alan Swingler

Cetera Investment Advisers LLC

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About Steven Alan Swingler

Steven Alan Swingler is a financial advisor with Cetera Investment Advisers LLC. Steven has been in the industry since 2020 and is registered with the state of Indiana and Texas. Steven specializes in financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, and portfolio management for individuals. Steven is also a Certified Financial Planner.

Firm Information

Steven Swingler is currently registered with Cetera Investment Advisers LLC. Cetera Investment Advisers LLC is a financial services firm headquartered in Schaumburg, Illinois. The firm offers a wide range of financial planning and investment advisory services to individuals, corporations, pension plans, and charitable organizations. Cetera manages over $104 billion in assets for clients. The firm has a large network of licensed financial advisors and investment advisory representatives, serving over 423,000 clients across the country.
Cetera Investment Advisers LLC

1450 AMERICAN LANE

SCHAUMBURG, IL 60173-2096

$104.47B

Assets Under Management

16,618

Total Clients

7,280

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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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

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

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Steven Swingler’s Registration & Firm History

IN

09/21/2023 - Present

Cetera Investment Advisers LLC (HIGHLAND IN)

TX

05/18/2022 - 07/11/2023

VANGUARD MARKETING CORPORATION (Plano TX)

TX

09/27/2021 - 10/20/2021

PARK AVENUE SECURITIES LLC (IRVING TX)

TX

09/22/2020 - 08/03/2021

TD AMERITRADE, INC. (Southlake TX)

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Licenses & Designations

BOTH

Issued 06/01/2022

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/30/2020

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/22/2020

Series 7TO - General Securities Representative Examination

BC

Issued 10/14/2019

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Steven Alan Swingler.
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