Arthur G. Swalley

ARLINGTON FINANCIAL ADVISORS

Santa Barbara, CA 93101

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CRD#: 2065991

Professional summary

Arthur Gentry Swalley, CIMA® is a registered financial advisor currently at ARLINGTON FINANCIAL ADVISORS, LLC located in Santa Barbara, California.

Arthur is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Arthur has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The Santa Barbara Trust Company; investment-related; Santa Barbara, CA; Chief Investment Officer; affiliated trust company; 06/2025; trust services

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Gentry Swalley'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

May 18, 2016 - Present

ARLINGTON FINANCIAL ADVISORS, LLC

Office #1: 100 E. De La Guerra St, Santa Barbara, CA 93101

RIA

CRD#: 283288

Santa Barbara, CA

Past

June 20, 2016 - December 31, 2019

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Santa Barbara, CA

Past

December 7, 2010 - June 21, 2016

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

SANTA BARBARA, CA

Past

December 7, 2010 - June 21, 2016

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

SANTA BARBARA, CA

Past

July 8, 1997 - December 9, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SANTA BARBARA, CA

Past

June 21, 1990 - December 9, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SANTA BARBARA, CA

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".

ARLINGTON FINANCIAL ADVISORS, LLC

CRD#: 283288 / SEC#: 801-107857

RIA

Registered Investment Advisory firm - (5/18/2016 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

California
(5/18/2016)

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 65

Date: 10/21/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/11/1990

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: 6/16/1990

General Securities Representative Examination

Current Firm

ARLINGTON FINANCIAL ADVISORS, LLC

CRD#: 283288 / SEC#: 801-107857

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

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Contact information

Main Address

100 E. De La Guerra St, Santa Barbara, CA 93101

Mailing Address

Phone number

(805) 699-7300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (7/30/2025)

ADV PART 2A APPENDIX 1 - WRAP FEE PROGRAM BROCHURE (7/30/2025)

Regulatory assets under management

Total Number of Accounts	1,707
AUM (Assets Under Management)	$ 1,044,000,000

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.

Contact information

xxxxx@xxxx.xxx

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Arthur G. Swalley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Gentry Swalley's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ARLINGTON FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/21/1994

Series 63

Date: 7/11/1990

SIE

Date: 10/1/2018

Series 7

Date: 6/16/1990

Current Firm

ARLINGTON FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARLINGTON FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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