Larry Swaney
Larry Swaney is a registered investment advisor at Wells Fargo Advisors, based in Raleigh, NC, with 42 years of industry experience. Larry is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Retirement Planning. Their firm serves 466,575 clients with $250B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
3110 Edwards Mill Rd, Ste 205, Raleigh, NC, 27612
Get directionsHistory
Regulatory History (2)
Regulatory
August 1988Employment Separation After Allegations
February 1987Other Business Activities
Larry has a 50% ownership in Mifflin Capital Inc. since 2020, dedicating about a quarter of his time. He is also involved with First Flight Financial Advisors, LLC, since 2018, spending minimal time on it as a pass-through for Finet expenses.
Employment History
Current Registrations
Wells Fargo Advisors Financial Network, LLCBroker
Wells Fargo Advisors
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Clearing Services, LLC
A. G. Edwards & Sons, INC.
A. G. Edwards & Sons, INC.Broker
The Robinson-Humphrey Company INC.Broker
State Registrations22 states
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
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