AS
CFP
AS
CFP
Alan Swingler
42 Years of Experience
Highland, IN
1 DisclosureBroker
Alan Swingler is a CFP-designated registered investment advisor at Cetera Investment Advisers LLC, based in Highland, IN, with 42 years of industry experience. Alan operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
9701 Indianapolis Blvd, Highland, IN, 46322
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Regulatory History (1)
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Customer Dispute
December 2002Settled
Other Business Activities
Alan is a pension committee member for ARC Bridges Inc., reviewing and approving plan investment allocation, dedicating minimal time. He also evaluates student essays for a stock market game.
Employment History
Current Registrations
Cetera Investment Advisers LLC
January 2014 - Present · 12 yrs 6 mos
Cetera Investment Services LLCBroker
October 2004 - Present · 21 yrs 9 mos
Previous Registrations
Cetera Investment Services LLC
May 2006 - January 2014 · 7 yrs 8 mos
Primevest Financial Services, INC.
October 2004 - December 2005 · 1 yr 2 mos
National Planning Corporation ("npc of America" in Fl & Ny)
December 1999 - April 2004 · 4 yrs 4 mos
National Planning CorporationBroker
November 1999 - September 2004 · 4 yrs 10 mos
Primevest Financial Services, INC.Broker
November 1995 - November 1999 · 4 yrs
Wall Street Investor ServicesBroker
October 1994 - October 1995 · 1 yr
National City Investments CorporationBroker
June 1994 - July 1994 · 1 mo
Wall Street Investor ServicesBroker
May 1994 - June 1994 · 1 mo
American Express Financial Advisors INC.Broker
October 1984 - May 1994 · 9 yrs 7 mos
Ids Financial Services INC.Broker
October 1984 - December 1986 · 2 yrs 2 mos
Pruco Securities CorporationBroker
July 1983 - October 1984 · 1 yr 3 mos
State Registrations15 states
ALARCACOFLIDILINMIMNNVSCTNTXWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.