Steven Swingler is a CFP-designated registered investment advisor, based in Highland, IN, with 4 years of industry experience.
Location
9701 Indianapolis Boulevard, Highland, IN, 46322
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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
Cetera Investment Advisers LLC
July 2023 - Present · 3 yrs 2 mos
Cetera Investment Services LLCBroker
July 2023 - Present · 3 yrs 2 mos
Previous Registrations
Vanguard Advisers, INC.
June 2022 - July 2023 · 1 yr 1 mo
Vanguard Marketing CorporationBroker
May 2022 - July 2023 · 1 yr 2 mos
Park Avenue Securities LLCBroker
September 2021 - October 2021 · 1 mo
TD Ameritrade, INC.Broker
September 2020 - August 2021 · 11 mos
State Registrations14 states
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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.