Robert C. Swails
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.
Robert Charles Swails, who also goes by Rob Swails, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1998. Robert had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2016 - February 2, 2018
KESTRA ADVISORY SERVICES, LLC
March 23, 2016 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
October 30, 2015 - February 2, 2018
KESTRA INVESTMENT SERVICES, LLC
November 30, 2010 - November 17, 2015
LPL FINANCIAL LLC
November 30, 2010 - November 17, 2015
LPL FINANCIAL LLC
September 2, 2009 - November 30, 2010
NRP ADVISORS, INC.
September 2, 2009 - November 30, 2010
NRP FINANCIAL, INC.
February 1, 2008 - September 22, 2009
INVESTORS CAPITAL CORP.
January 16, 2008 - September 22, 2009
INVESTORS CAPITAL CORP.
December 6, 2007 - January 10, 2008
CITIGROUP GLOBAL MARKETS INC.
October 2, 2006 - July 16, 2007
EMPOWER FINANCIAL SERVICES, INC.
November 5, 2002 - October 3, 2006
METROPOLITAN LIFE INSURANCE COMPANY
November 5, 2002 - October 3, 2006
MSI FINANCIAL SERVICES, INC.
May 21, 1998 - November 25, 2003
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/01/2025 | ||
| 12/23/2024 | ||
| 10/20/2023 |
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.
