Marie SwingleCRD Number: 3168953
Current Firm: Ameriprise Financial Services, Inc.
Marie Swingle (CRD# 3168953) is an Investment Advisor Representative working at Ameriprise Financial Services, Inc. in Greenville, SC and has over 19 years of experience in the finance industry.
Cetera Advisor Networks LLC
Erisa Plan Services Inc.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
|Ameriprise Financial Services, Inc.||Greenville, SC||Jan 2009 - Current||9|
|Strauss And Associates, Pa||Asheville, NC||Jan 1997 - Jan 2009||12|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1999|
|S65||NASAA Investment Advisors Law Examination||Feb 1999|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management198,081MILLIONS
Total Number of Accounts1,126,912ACCOUNTS
Average Account Value$175,773
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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