Aleen Swofford, financial advisor Knoxville TN

Aleen Swofford

CRD Number: 1284779
Current Firm: Geneos Wealth Management, Inc.

Aleen Swofford (CRD# 1284779) is an Investment Advisor Representative working at Geneos Wealth Management, Inc. in Knoxville, TN and has over 39 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
Prosperity Partners Wealth Management LLC Knoxville, TN Jul 2017 - Current 6
Geneos Wealth Management Inc. Knoxville, TN Feb 2015 - Current 9
Swofford Financial Knoxville, TN Feb 1984 - Jul 2017 33
Woodbury Financial Services Knoxville, TN Jul 2007 - Feb 2015 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1984
S65 NASAA Investment Advisors Law Examination Nov 1996
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, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Aleen M. Swofford
Phone Number: 303-785-8470
Registered State(s):
  • TN
  • TX
By the Numbers
  • Total Assets Under Management
    4,646
    MILLIONS
  • Total Number of Accounts
    19,340
    ACCOUNTS
  • Average Account Value
    $240,216
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
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • 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, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY

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