William L. Swearingen

UNITED CAPITAL FINANCIAL ADVISORS

IRVING, TX 75062

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CRD#: 1800451

Professional summary

William Lee Swearingen II, who also goes by William Lee Swearingen, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Irving, Texas.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. William has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

William Lee Swearingen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. UNITED CAPITAL FINANCIAL ADVISORS, LLC POSITION: Employee NATURE: Investment management & Financial Planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 130 START DATE: 12/15/2007 ADDRESS: 125 E John Carpenter Freeway, Irving TX 75062, United States DESCRIPTION: Managing Director responsible for client retention and new client relationships

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Lee Swearingen II's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 5, 2007 - Present

UNITED CAPITAL FINANCIAL ADVISORS

Office #1: 125 E John Carpenter Fwy Ste 1200, Irving, TX 75062

RIA

CRD#: 134600

IRVING, TX

Past

February 15, 2024 - April 4, 2025

LION STREET FINANCIAL, LLC

CRD#: 165828

AUSTIN, TX

Past

September 3, 2020 - November 22, 2023

CRD#: 7560

JERSEY CITY, NJ

Past

July 9, 1988 - March 25, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 20, 1988 - July 6, 1988

J. T. MORAN & CO., INC.

CRD#: 15655

Past

February 24, 1988 - May 20, 1988

SHERWOOD CAPITAL, INC.

CRD#: 10474

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Louisiana
(2/7/2020)

IAR

Texas
(12/5/2007)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/21/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/24/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/20/1988

General Securities Representative Examination

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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Contact information

Main Address

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062

Mailing Address

Phone number

(972) 822-2055

Established

Firm type

Fiscal year end

# of Employees

271

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)

UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	41,738
AUM (Assets Under Management)	$ 17,211,052,120

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2024	Cover Page	Report
10/30/2023	Cover Page	Report
01/26/2023	Cover Page	Report

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.

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Firm Stability Insights

William L. Swearingen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Lee Swearingen II's CRS (Customer Relationship Summary).

Certified licenses

Experience

LION STREET FINANCIAL, LLC

MERCER ALLIED COMPANY, L.P.

GOLDMAN SACHS & CO. LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PERSHING LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J. T. MORAN & CO., INC.

SHERWOOD CAPITAL, INC.

Primary Firm SEC Registration

UNITED CAPITAL FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 3/21/2002

Series 63

Date: 2/24/1988

SIE

Date: 10/1/2018

Series 7

Date: 2/20/1988

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

UNITED CAPITAL FINANCIAL ADVISORS

TRUST BUT VERIFY

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