Alec Swofford is a registered investment advisor, based in Austin, TX, with 6 years of industry experience.
Location
Ibc Building, 500 West 5th Street, 8th Floor, Austin, TX, 78701
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
First Trust Advisors LP
October 2021 - Present · 4 yrs 6 mos
First Trust Portfolios L.P.Broker
October 2021 - Present · 4 yrs 6 mos
Previous Registrations
Advisors Asset Management, INC.
July 2019 - October 2021 · 2 yrs 3 mos
Advisors Asset Management, INC.Broker
June 2019 - October 2021 · 2 yrs 4 mos
State Registrations2 states
ILTX
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.