James Swindell, financial advisor San Antonio TX
73 score

James Swindell

CRD Number: 5414260
Current Firm: Usaa Investment Management Company

James Swindell (CRD# 5414260) is an Investment Advisor Representative working at Usaa Investment Management Company in San Antonio, TX and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Usaa Transfer Agency Company San Antonio, TX Feb 2010 - Current 6
Usaa Investment Management Company San Antonio, TX Feb 2010 - Current 6
First Command Financial Planning, Inc. Fort Worth, TX Jun 2007 - Feb 2010 2
First Command Financial Services, Inc. Fort Worth, TX Jun 2007 - Feb 2010 2
Northside Isd San Antonio, TX Aug 2006 - Jun 2007 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 2007
S65 NASAA Investment Advisors Law Examination Nov 2007
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:
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for James C. Swindell
Phone Number: 800-531-USAA
Firm Website: https://www.usaa.com
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    23,291
    MILLIONS
  • Total Number of Accounts
    131,832
    ACCOUNTS
  • Average Account Value
    $176,670
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • 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)
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, VI, VT, WA, WI, WV

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BADGES
73

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