Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Alan Swingler is a financial advisor at Cetera Investment Advisers LLC. Steven has been in the industry for over 25 years and holds both a Series 63 and a Series 66 license. Steven has experience working for several firms including TD Ameritrade, Inc., Park Avenue Securities LLC and Vanguard Marketing Corporation. Steven also holds the Certified Financial Planner designation.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
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.
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2
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)
BOTH
Issued 6/1/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 9/30/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 9/22/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/14/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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