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AS

Amy L. Swieter

ALLIANCE-ONE INVESTMENTS
Tulsa, OK 74116
Some features on this profile are disabled
CRD#: 5037098
AS

Professional summary

Amy Lynn Swieter, who also goes by Amy Lynn Chandler, Amy Chandler, is a registered financial professional currently at ALLIANCE-ONE INVESTMENTS, LLC located in Tulsa, Oklahoma.

Amy is registered as a RR (Registered Representative) and started their career in finance in 2005. Amy has worked at 5 firms and has passed the SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Amy Lynn Chandler | Amy Chandler

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) - BD

Click below to view Amy Lynn Swieter's 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

October 31, 2019 - Present

ALLIANCE-ONE INVESTMENTS, LLC

Office #1: 4000 N Mingo Rd, Tulsa, OK 74116
BD
CRD#: 286025
Tulsa, OK
Past

October 21, 2015 - June 30, 2016

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
WEST DES MOINES, IA
Past

February 17, 2015 - October 31, 2019

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
West Des Moines, IA
Past

October 18, 2012 - October 3, 2013

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
WEST DES MOINES, IA
Past

October 19, 2006 - October 3, 2013

NEW ENGLAND SECURITIES

BD
CRD#: 615
WEST DES MOINES, IA
Past

October 19, 2006 - October 3, 2013

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
WEST DES MOINES, IA
Past

October 4, 2005 - September 18, 2006

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
DES MOINES, IA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/30/2005
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/28/2016
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AI
ALLIANCE-ONE INVESTMENTS, LLC
ALLIANCE-ONE INVESTMENTS, LLC

CRD#: 286025 / SEC#: , 8-69868

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
4000 N Mingo Rd, Tulsa, OK 74116
Mailing Address
4000 N Mingo Rd, Tulsa, OK 74116
Phone number
(918) 281-1820
Established
Delaware since 10/20/2016
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Medium
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANCE-ONE HOLDINGS, LLCSOLE MEMBER
ARBO, WILLIAM CHARLESCEO/CHIEF FINANCIAL OFFICER1773016
TOOMEY, JAY ALANCHIEF COMPLIANCE OFFICER2514959

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

ALLIANCE-ONE INVESTMENTS, LLC

CRD#: 286025Tulsa, OK 74116

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