Alan L. Swingler
Professional summary
Alan Lee Swingler, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Highland, Indiana and CETERA INVESTMENT SERVICES LLC located in Highland, Indiana.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Alan has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6, Series 26, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Alan Lee Swingler's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2000
Experience
January 21, 2014 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 9701 Indianapolis Blvd, Highland, IN 46322October 1, 2004 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 9701 Indianapolis Boulevard, Highland, IN 46322May 18, 2006 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
October 20, 2004 - December 31, 2005
CETERA INVESTMENT SERVICES LLC
December 16, 1999 - April 27, 2004
NATIONAL PLANNING CORPORATION
November 12, 1999 - September 30, 2004
NATIONAL PLANNING CORPORATION
November 2, 1995 - November 16, 1999
CETERA INVESTMENT SERVICES LLC
October 13, 1994 - October 18, 1995
WALL STREET ACCESS
June 28, 1994 - July 5, 1994
NATIONAL CITY INVESTMENTS CORPORATION
May 16, 1994 - June 29, 1994
WALL STREET ACCESS
October 13, 1984 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
October 13, 1984 - May 16, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
July 8, 1983 - October 15, 1984
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/8/2004)
(3/31/2020)
(10/1/2004)
(12/1/2010)
(10/1/2004)
(10/1/2004)
(10/13/2004)
(10/7/2004)
(1/21/2014)
(3/9/2023)
(10/1/2004)
(5/17/2022)
(4/20/2010)
(6/28/2024)
(6/16/2022)
(6/16/2022)
(10/1/2004)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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