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William Swearingen

United Capital Financial Advisors
38 Years of Experience
Irving, TX
2 Disclosures
View SEC Summary
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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 Alternative Investments, Annuities, Charitable Giving, Education Planning, and 7 more. Their firm serves 25,510 clients with $25B in assets under management.

United Capital Financial Advisors
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
164 advisors
Number of Clients
25,510 clients
Average Client Portfolio
$966K average
Assets Under Management
$24.6B

Fee Structure

Minimum Investment:$500K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K1.50%
$500K - $2.0M1.25%
$2.0M - $5.0M1.15%
$5.0M - $10.0M1.00%
$10M+0.85%

Fees are negotiable and may vary based on portfolio size, services, and custodian. Minimums and fee schedules can be modified at United Capital Financial Advisors' discretion.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

125 E John Carpenter Fwy Ste 1300, Irving, TX, 75062

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History

Regulatory History (2)
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.
Employment Separation After Allegations
November 2007
Customer Dispute
April 2005
Denied
View Full SEC ReportHow to Read Disclosures
Other 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
December 2007 - Present · 18 yrs 10 mos
Previous Registrations
Lion Street Financial, LLCBroker
February 2024 - April 2025 · 1 yr 2 mos
Mercer Allied Company, L.P.Broker
September 2020 - November 2023 · 3 yrs 2 mos
Goldman Sachs & CO. LLCBroker
September 2020 - November 2023 · 3 yrs 2 mos
Cetera Advisor Networks LLCBroker
November 2017 - September 2020 · 2 yrs 10 mos
Cetera Advisor Networks LLC
November 2017 - June 2019 · 1 yr 7 mos
Girard Securities, INC.
September 2011 - November 2017 · 6 yrs 2 mos
Girard Securities, INC.Broker
December 2007 - November 2017 · 9 yrs 11 mos
Bear, Stearns & CO. INC.Broker
December 2004 - December 2007 · 3 yrs
Bear, Stearns & CO. INC.
December 2004 - December 2007 · 3 yrs
Merrill Lynch Pierce Fenner & Smith INC.
March 2002 - January 2005 · 2 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 2001 - January 2005 · 3 yrs 1 mo
Donaldson, Lufkin & Jenrette Securities CorporationBroker
March 1992 - December 2001 · 9 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 1988 - March 1992 · 3 yrs 8 mos
J. T. Moran & CO., INC.Broker
May 1988 - July 1988 · 2 mos
Sherwood Capital, INC.Broker
February 1988 - May 1988 · 3 mos
State Registrations2 states
LATX
Advisor

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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