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WS

William S. Swinford

ALLSTATE FINANCIAL ADVISORS
Austin, TX 78727-5322
Some features on this profile are disabled
CRD#: 3134189
WS

Professional summary

William Steele Swinford JR, who also goes by Beau Swinford, Bill Swinford, William Steele Swinford Jr., William Steele Swinford, is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Austin, Texas and ALLSTATE FINANCIAL SERVICES, LLC located in Austin, Texas.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. William has worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Beau Swinford | Bill Swinford | William Steele Swinford Jr. | William Steele Swinford

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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Steele Swinford JR'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

August 29, 2018 - Present

ALLSTATE FINANCIAL ADVISORS, LLC

Office #1: 12400 Amherst Dr Ste 114, Austin, TX 78727-5322
RIA
CRD#: 109524
Austin, TX
Current

August 29, 2018 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 12400 Amherst Dr Ste 114, Austin, TX 78727-5322
BD
CRD#: 18272
Austin, TX
Past

February 10, 2015 - August 28, 2018

ALLSTATE FINANCIAL ADVISORS, LLC

RIA
CRD#: 109524
AUSTIN, TX
Past

February 10, 2015 - August 28, 2018

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
Austin, TX
Past

May 16, 2013 - October 2, 2014

BBVA SECURITIES INC.

BD
CRD#: 27060
HOUSTON, TX
Past

October 15, 2010 - October 2, 2014

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA
CRD#: 110476
HOUSTON, TX
Past

April 5, 2010 - October 15, 2010

ST JOHNS WEALTH MANAGEMENT

RIA
CRD#: 105564
MCALLEN, TX
Past

August 21, 2008 - March 12, 2010

BBVA COMPASS INVESTMENT SOLUTIONS, INC

RIA
CRD#: 17086
MCALLEN, TX
Past

August 21, 2008 - May 16, 2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BD
CRD#: 17086
MCALLEN, TX
Past

October 7, 2004 - August 21, 2008

TSB SECURITIES, INC.

BD
CRD#: 43758
HARLINGEN, TX
Past

August 25, 2000 - August 17, 2004

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

March 16, 1999 - August 15, 2000

CITISTREET EQUITIES LLC

BD
CRD#: 7447
SOMERSET, NJ
Past

November 9, 1998 - December 15, 1998

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

November 9, 1998 - December 15, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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".
AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA
Registered Investment Advisory firm - (11/21/2007 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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(8/29/2018)
IAR
Texas
(8/29/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/29/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/10/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/7/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/13/2013
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/20/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ALLSTATE FINANCIAL ADVISORS, LLC
ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA
Registered Investment Advisory firm - (11/21/2007 Approved)
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Contact information

Main Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Mailing Address
151 N 8th Street, Suite 450, Lincoln, NE 68508
Phone number
(877) 232-2142
Established
Firm type
Fiscal year end
# of Employees
337

SEC notice filing (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts280
AUM (Assets Under Management)$ 82,015,793

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.

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524Austin, TX 78727-5322

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