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 is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B
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Location
9701 Indianapolis Blvd, Highland, IN, 46322
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
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 9 mos
Cetera Investment Services LLCBroker
October 2004 - Present · 22 yrs
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.
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