Alec Swofford, financial advisor Austin TX

Alec Swofford

CRD Number: 7096425
Current Firm: First Trust Advisors LP

Alec Swofford (CRD# 7096425) is an Investment Advisor Representative working at First Trust Advisors LP in Austin, TX and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
First Trust Portfolios LP Wheaton, IL Oct 2021 - Current 1
First Trust Advisors LP Wheaton, IL Oct 2021 - Current 1
Advisors Asset Management, Inc. Monument, CO Apr 2019 - Oct 2021 2
Broadway National Bank San Antonio, TX May 2018 - Apr 2019 < 1
Student Kerrville, TX Aug 2013 - May 2018 4
America's Auto Auction Buda, TX May 2015 - Aug 2015 < 1
Cleveland's Buda, TX May 2013 - Dec 2014 1
Student Buda, TX Aug 2009 - May 2013 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jul 2019
Contact Info for Alec G. Swofford
Phone Number: 630-765-8000
Registered State(s):
  • IL
  • TX
By the Numbers
  • Total Assets Under Management
    223,555
    MILLIONS
  • Total Number of Accounts
    3,363
    ACCOUNTS
  • Average Account Value
    $66,474,874
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY

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