Phillip L. Swindoll
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.
Phillip Lamar Swindoll was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1999. Phillip had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2014 - April 30, 2019
INSTITUTE FOR WEALTH ADVISORS, INC.
April 18, 2013 - February 20, 2015
PURITAN BROKERAGE SERVICES, INC.
November 10, 2010 - June 1, 2011
WORLD CHOICE SECURITIES, INC.
March 19, 2007 - November 10, 2008
WILBANKS SECURITIES, INC.
March 27, 2006 - March 13, 2007
ALLSTATE FINANCIAL SERVICES, LLC
May 16, 2005 - March 31, 2006
WILBANKS SECURITIES, INC.
January 7, 2002 - May 30, 2003
LUKEN INVESTMENT GROUP, INC.
January 18, 2000 - January 15, 2002
FFP SECURITIES, INC.
April 22, 1999 - February 9, 2000
HAGAR FINANCIAL CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INSTITUTE FOR WEALTH ADVISORS, INC.
CRD#: 149347 / SEC#: 801-69925
Contact information
Red Flags
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