Alec Swofford (CRD# 7096425) is an Investment Advisor Representative working at First Trust Advisors LP in Austin, TX and has over 4 years of experience in the finance industry.
CRD# 4431657
Pbl Wealth Management
CRD# 5872877
Orchard Financial
CRD# 2827672
Merrill Lynch, Pierce, Fenner & Smith Incorporated
| Company Name | Location | Dates | Years |
|---|---|---|---|
| First Trust Portfolios LP | Wheaton, IL | Oct 2021 - Current | 2 |
| First Trust Advisors LP | Wheaton, IL | Oct 2021 - Current | 2 |
| 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 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S66 | NASAA Uniform Combined State Law Examination | Jul 2019 |
- IL
- TX
-
Total Assets Under Management210,879MILLIONS
-
Total Number of Accounts2,926ACCOUNTS
-
Average Account Value$72,070,745
- A percentage of assets under your management
- Other
- 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
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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