DS
CFP · ChFC
DS
CFP · ChFC
Darlene Swatik
24 Years of Experience
Torrance, CA
2 DisclosuresBroker
Darlene Swatik is a CFP, ChFC-designated registered investment advisor at U.S. Bancorp Advisors, LLC, based in Torrance, CA, with 24 years of industry experience. Darlene operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Retirement Planning. Their firm serves 3,279 clients with $1.5B in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
1140 advisors
IM Fee
Planning only
Assets Under Management
$1.5B
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
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Location
21201 Hawthorne Blvd, Torrance, CA, 90503
Get directionsHistory
Regulatory History (2)
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Customer Dispute
November 2009Settled
Customer Dispute
August 2003Denied
Employment History
Current Registrations
U.S. Bancorp Advisors, LLCBroker
August 2009 - Present · 16 yrs 9 mos
U.S. Bancorp Advisors, LLC
August 2009 - Present · 16 yrs 9 mos
Previous Registrations
Chase Investment Services CORP.
May 2009 - July 2009 · 2 mos
Chase Investment Services CORP.Broker
May 2009 - July 2009 · 2 mos
Wamu Investments, INC.Broker
December 2004 - May 2009 · 4 yrs 5 mos
Wamu Investments, INC.
December 2004 - May 2009 · 4 yrs 5 mos
Citicorp Investment Services
April 2004 - November 2004 · 7 mos
Citicorp Investment ServicesBroker
August 2003 - November 2004 · 1 yr 3 mos
Wm Financial Services, INC.Broker
July 2001 - August 2003 · 2 yrs 1 mo
State Registrations14 states
AZCAFLGAHIIDMIMTNCNDNVORTXUT
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.