Valerie E. Swan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Valerie Ellen Swan, CFP®, who also goes by Valerie Ellen Estermyer, Valerie Matuszewski, Valerie Pitzer, was a registered financial professional .
Valerie is a previously registered financial professional and started their career in finance in 1984. Valerie had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1987
Experience
January 2, 2020 - December 31, 2023
ALLEGHENY FINANCIAL GROUP LTD
March 30, 2007 - December 31, 2023
ALLEGHENY INVESTMENTS, LTD.
July 26, 1984 - December 31, 2023
ALLEGHENY INVESTMENTS, LTD.
Primary Firm SEC Registration
ALLEGHENY FINANCIAL GROUP LTD
CRD#: 104690 / SEC#: 801-12566
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALLEGHENY FINANCIAL GROUP LTD
CRD#: 104690 / SEC#: 801-12566
Contact information
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,950 |
| AUM (Assets Under Management) | $ 4,904,134,773 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/10/2025 | ||
| 10/22/2024 | ||
| 08/11/2023 | ||
| 10/08/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
