William Swearingen, financial advisor Irving TX
58 score

William Swearingen

CRD Number: 1800451
Current Firm: Girard Securities, Inc.

William Swearingen (CRD# 1800451) is an Investment Advisor Representative working at Girard Securities, Inc. in Irving, TX and has over 28 years of experience in the finance industry.

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Company Name Location Dates Years
United Capital Financial Advisers, LLC Dallas, TX Jun 2009 - Current 7
Girard Securities, Inc. San Diego, CA Dec 2007 - Current 9
United Capital Financial Advisers, Inc. Dallas, TX Dec 2007 - Jun 2009 1
Bear, Stearns & Company Inc. Dallas, TX Dec 2004 - Nov 2007 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1988
S66 NASAA Uniform Combined State Law Examination Mar 2002
Disclosure Information

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:
  • Employer Dispute
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for William L. Swearingen
Phone Number: 858-622-2140
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    646
    MILLIONS
  • Total Number of Accounts
    3,210
    ACCOUNTS
  • Average Account Value
    $201,360
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
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, VI, VT, WA, WI, WV

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BADGES
58

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