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Seth Franklin Swindle

Seth F. Swindle

STRIVE INVESTMENT MANAGEMENT
American Fork, UT
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CRD#: 5392085
Seth Franklin Swindle

Professional summary

Seth Franklin Swindle, CFP®, who also goes by Seth F. Swindle, Seth Swindle, is a registered financial advisor currently at STRIVE INVESTMENT MANAGEMENT, LLC located in American Fork, Utah.

Seth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Seth has worked at 2 firms and has passed the Series 65, Series 66, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Seth F. Swindle | Seth Swindle

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.
2019-Present: /investment related/American Fork, UT/Life Insurance Sales/Independent Insurance Agent/Involves less than 2 hours each month, including during traditional business hours./I occassionally sell life insurance to clients.//

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth Franklin Swindle'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®
CFP®

Certified Financial Planner

Start date: 2019

Experience

Current

January 11, 2017 - Present

STRIVE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 283482
American Fork, UT
Past

November 13, 2007 - February 12, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
PORTLAND, OR
Past

September 24, 2007 - February 12, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
PORTLAND, OR

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.

Highlighted states indicate IAR registrations

IAR
Utah
(1/11/2017)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/1/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 11/7/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 11/12/2007
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/22/2007
General Securities Representative Examination

Current Firm

SI
STRIVE INVESTMENT MANAGEMENT, LLC
STRIVE INVESTMENT MANAGEMENT | STRIVE INVESTMENT MANAGEMENT, LLC

CRD#: 283482 / SEC#:

Utah
Registered Investment Advisory firm - (1/10/2017 Approved)
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Contact information

Main Address
American Fork, UT
Mailing Address
Phone number
(801) 636-3465
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts74
AUM (Assets Under Management)$ 5,082,698

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

STRIVE INVESTMENT MANAGEMENT, LLC

CRD#: 283482American Fork, UT

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