Charles H. Swats
Professional summary
Charles Harper Swats, who also goes by Chad Swats, is a registered financial professional currently at AEL FINANCIAL SERVICES, LLC located in Charlotte, North Carolina.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1993. Charles has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Harper Swats's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 1, 2023 - Present
AEL FINANCIAL SERVICES, LLC
Office #1: 2101 Rexford Road Suite 310, Charlotte, NC 28211May 19, 2023 - October 6, 2023
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
December 6, 2000 - July 1, 2021
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 13, 2000 - December 31, 2000
NATIONWIDE SECURITIES, LLC
December 16, 1998 - January 24, 2000
TOUCHSTONE SECURITIES, INC.
October 23, 1996 - December 7, 1998
SIGNATOR FINANCIAL SERVICES, INC.
October 21, 1993 - May 8, 1996
NUVEEN SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/14/2023)
Exams
FINRA
Current Firm
AEL FINANCIAL SERVICES, LLC
CRD#: 300285 / SEC#: , 8-70298
Contact information
FINRA licenses (37 States and Territories)
Documents
Red Flags
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