Susan Swinehart, financial advisor Troy OH
73 score

Susan Swinehart

CRD Number: 1794087
Current Firm: Sagepoint Financial, Inc.

Susan Swinehart (CRD# 1794087) is an Investment Advisor Representative working at Sagepoint Financial, Inc. in Troy, OH and has over 17 years of experience in the finance industry.

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Company Name Location Dates Years
Sagepoint Financial, Inc. Phoenix, AZ Jan 2009 - Current 7
Robert Strayer And Assoc. Sidney, OH Sep 1985 - Current 31
Aig Financial Advisors, Inc. Phoenix, AZ Oct 2005 - Jan 2009 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 2006
S65 NASAA Investment Advisors Law Examination Mar 1999
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:
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Susan C. Swinehart
Phone Number: 1-800-552-3319 EXT 2606
Registered State(s):
  • OH
By the Numbers
  • Total Assets Under Management
    4,385
    MILLIONS
  • Total Number of Accounts
    23,011
    ACCOUNTS
  • Average Account Value
    $190,540
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
  • 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, VI, VT, WA, WI, WV

Ready to hire a financial advisor? Get competitive proposals from Susan Swinehart and other advisors.
BADGES
73

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