Steven Swaggerty, financial advisor Livonia MI
83 score

Steven Swaggerty

CRD Number: 3086485
Current Firm: Ameriprise Financial Services, Inc.

Steven Swaggerty (CRD# 3086485) is an Investment Advisor Representative working at Ameriprise Financial Services, Inc. in Livonia, MI and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Ids Life Insurance Company Livonia, MI Jul 1998 - Current 18
American Express Financial Advisors Inc. Livonia, MI Jul 1998 - Current 18
Brightmoor Tabernacle Southfield, MI Aug 1995 - Current 21
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1998
S66 NASAA Uniform Combined State Law Examination Aug 2010
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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Steven R. Swaggerty
Phone Number: 612-671-3131
Registered State(s):
  • MI
By the Numbers
  • Total Assets Under Management
    178,060
    MILLIONS
  • Total Number of Accounts
    1,085,445
    ACCOUNTS
  • Average Account Value
    $164,044
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)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

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

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BADGES
83

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