Alec SwoffordCRD 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.
Pbl Wealth Management
|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|
Total Assets Under Management223,555MILLIONS
Total Number of Accounts3,363ACCOUNTS
Average Account Value$66,474,874
- A percentage of assets under your management
- 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
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
Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.
Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.
If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!
Finding a Financial Advisor through Wealthminder
Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.
The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.
Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.
You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.
Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.