William Swearingen
William Swearingen is a registered investment advisor at United Capital Financial Advisors, based in Irving, TX, with 38 years of industry experience. William operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 22,832 clients with $17B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 1.50% |
| $500K - $2.0M | 1.25% |
| $2.0M - $5.0M | 1.15% |
| $5.0M - $10.0M | 1.00% |
| $10M+ | 0.85% |
Fees are negotiable. United Capital can charge a tiered rate or a flat dollar fee instead of a flat percentage fee for the annual fee.
Fee Estimator
Location
125 E John Carpenter Fwy Ste 1300, Irving, TX, 75062
Get directionsHistory
Regulatory History (2)
Employment Separation After Allegations
November 2007Customer Dispute
April 2005Other Business Activities
William works full-time as a Managing Director at United Capital Financial Advisors, LLC, focusing on investment management, financial planning, client retention, and new client relationships. He spends 180 hours per month on this activity, with 130 hours dedicated to securities trading.
Employment History
Current Registrations
United Capital Financial Advisors
Previous Registrations
Lion Street Financial, LLCBroker
Mercer Allied Company, L.P.Broker
Goldman Sachs & CO. LLCBroker
Cetera Advisor Networks LLCBroker
Cetera Advisor Networks LLC
Girard Securities, INC.
Girard Securities, INC.Broker
Bear, Stearns & CO. INC.Broker
Bear, Stearns & CO. INC.
Merrill Lynch Pierce Fenner & Smith INC.
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Donaldson, Lufkin & Jenrette Securities CorporationBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
J. T. Moran & CO., INC.Broker
Sherwood Capital, INC.Broker
State Registrations2 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.