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KS

Katelyn A. Swimley

APOLLO GLOBAL SECURITIES
New York, NY 10019-2701
Some features on this profile are disabled
CRD#: 6040418
KS

Professional summary

Katelyn Ann Swimley is a registered financial professional currently at APOLLO GLOBAL SECURITIES, LLC located in New York, New York and ATHENE SECURITIES, LLC located in West Des Moines, Iowa.

Katelyn is registered as a RR (Registered Representative) and started their career in finance in 2014. Katelyn has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
YWCA (San Francisco, CA) Board Member. As a Board Member I review the non-profits financial statements and approving employees compensation, etc. 5 hours per month devoted to organization.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Katelyn Ann Swimley'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

January 4, 2024 - Present

APOLLO GLOBAL SECURITIES, LLC

Office #1: 9 West 57th Street 8th Fl, New York, NY 10019-2701
BD
CRD#: 153502
New York, NY
Current

April 23, 2025 - Present

ATHENE SECURITIES, LLC

Office #1: 7700 Mills Civic Parkway, West Des Moines, IA 50266
BD
CRD#: 36867
West Des Moines, IA
Past

December 18, 2014 - November 30, 2023

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 108928
NEW YORK, NY
Past

October 22, 2014 - November 30, 2023

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
NEW YORK, NY

State Registrations and Notice Filings

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

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
Alaska
(4/23/2025)
RR
Arizona
(1/4/2024)
RR
California
(1/4/2024)
RR
Colorado
(1/4/2024)
RR
Hawaii
(4/23/2025)
RR
Idaho
(4/23/2025)
RR
Illinois
(1/4/2024)
RR
Indiana
(1/4/2024)
RR
Iowa
(4/23/2025)
RR
Kansas
(4/23/2025)
RR
Minnesota
(4/23/2025)
RR
Missouri
(4/23/2025)
RR
Montana
(4/23/2025)
RR
Nebraska
(4/23/2025)
RR
New Mexico
(1/4/2024)
RR
New York
(1/4/2024)
RR
North Dakota
(4/23/2025)
RR
Oklahoma
(4/23/2025)
RR
Oregon
(1/4/2024)
RR
South Dakota
(4/23/2025)
RR
Texas
(4/23/2025)
RR
Utah
(1/4/2024)
RR
Washington
(1/4/2024)
RR
Wyoming
(1/4/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/18/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/22/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ATHENE SECURITIES, LLC
ATHENE SECURITIES IOWA, LLC | IL SECURITIES, LLC | IL SECURITIES, INC. | IL SECURITIES LLC | AVIVA SECURITIES, LLC | ATLAS SP SECURITIES | ATHENE SECURITIES, LLC

CRD#: 36867 / SEC#: , 8-47499

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
7700 Mills Civic Parkway, West Des Moines, IA 50266
Mailing Address
7700 Mills Civic Parkway, West Des Moines, IA 50266
Phone number
(515) 342-4616
Established
Indiana since 04/21/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ATHENE USA CORPORATIONATHENE SECURITIES, LLC
BATTERSON, CHAD MPRESIDENT, COO, FINOP4880009
BURTON, SHEILA SUECHIEF COMPLIANCE OFFICER
GEYELIN, ANTONY LAUSSAT IIIVICE PRESIDENT4605388
HUNT, ANGELA JEANCOMPLIANCE OFFICER7192588

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

ATHENE SECURITIES, LLC

CRD#: 36867New York, NY 10019-2701

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