Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Lee Swearingen is a financial advisor at United Capital Financial Advisors in Irving, Texas. William has been in the financial services industry for over 30 years, and has a strong track record of success in helping clients achieve their financial goals. William is committed to providing personalized financial advice and guidance to his clients. William has experience in a variety of financial planning areas, including retirement planning, college savings, investment management, and estate planning.
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.
Sub-adviser for other investment advisers
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
TX
12/05/2007 - Present
United Capital Financial Advisors (IRVING TX)
TX
09/03/2020 - 11/22/2023
GOLDMAN SACHS & CO. LLC (Irving TX)
TX
09/03/2020 - 11/22/2023
MERCER ALLIED COMPANY, L.P. (IRVING TX)
TX
11/01/2017 - 09/02/2020
CETERA ADVISOR NETWORKS LLC (IRVING TX)
TX
12/10/2007 - 11/01/2017
GIRARD SECURITIES, INC. (IRVING TX)
TX
12/17/2004 - 12/06/2007
BEAR, STEARNS & CO. INC. (DALLAS TX)
NY
12/18/2001 - 01/05/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NJ
03/26/1992 - 12/20/2001
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
07/09/1988 - 03/25/1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
05/20/1988 - 07/06/1988
J. T. MORAN & CO., INC.
NA
02/24/1988 - 05/20/1988
SHERWOOD CAPITAL, INC.
BOTH
Issued 03/21/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/24/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/20/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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