Brian Swilling, financial advisor Vestavia Hills AL

Brian Swilling

CRD Number: 4956839
Current Firm: Rfg Advisory, LLC
Compensation Model: Both

Brian Swilling (CRD# 4956839) is an Investment Advisor Representative working at Waddell & Reed in Charlotte, NC and has over 12 years of experience in the finance industry.

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Company Name Location Dates Years
Private Client Services Charlotte, NC Nov 2020 - Current 3
Rfg Advisory, Llc Dba Navipath Financial Charlotte, NC Nov 2020 - Current 3
Belk College Of Uncc Alumni Council Charlotte, NC Aug 2018 - Current 5
Charlotte Area Alumni Council Of Pi Kappa Phi Charlotte, NC Jan 2018 - Current 6
Navipath Partners, Inc. Dba Navipath Financial Belmont, NC Nov 2017 - Current 6
Waddell & Reed Inc. Charlotte, NC Jun 2015 - Nov 2020 5
Various Insurance Carriers For W & R Insurance Agencies Belmont, NC Jun 2015 - Nov 2020 5
Unemployed Gastonia, NC Nov 2014 - Jun 2015 < 1
Credit Suisse Securities (usa) LLC New York, NY Jul 2006 - Nov 2014 8
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 2006
S65 NASAA Investment Advisors Law Examination Aug 2015
Contact Info for Brian D. Swilling
By the Numbers
  • Total Assets Under Management
    2,997
    MILLIONS
  • Total Number of Accounts
    16,034
    ACCOUNTS
  • Average Account Value
    $186,907
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States
The map below shows states where this firm has explicit registration only.

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, VI, VT, WA, WI, WV, WY

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BADGES
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Data verified by both the advisor and the public regulatory data.

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