Hilary G. Swain

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CRD#: 707470

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.

Hilary Gardner Swain, who also goes by Hilary Gardner, Hilary Gardner Peterson, was a registered financial professional .

Hilary is a previously registered financial professional and started their career in finance in 1980. Hilary had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Hilary Gardner | Hilary Gardner Peterson

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 3, 2011 - January 26, 2023

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

BETHESDA, MD

Past

May 1, 2003 - August 6, 2009

M&T SECURITIES, INC.

CRD#: 17358

BALTIMORE, MD

Past

October 25, 2000 - May 20, 2011

MTB ASSET MANAGEMENT, INC.

RIA

CRD#: 110613

BETHESDA, MD

Past

February 28, 1997 - May 1, 2003

ALLFIRST BROKERAGE CORPORATION

CRD#: 17531

BALTIMORE, MD

Past

April 20, 1993 - August 8, 1995

ARTEMIS CAPITAL GROUP, INC.

CRD#: 7819

NEW YORK, NY

Past

November 7, 1983 - March 22, 1993

CORBY CAPITAL MARKETS, INC.

CRD#: 7165

Past

April 24, 1980 - March 22, 1993

CORBY CAPITAL MARKETS, INC.

CRD#: 7165

BOSTON, MA

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".

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/1/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/19/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/19/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 11/7/1986

Municipal Securities Principal Examination

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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Contact information

Main Address

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062

Mailing Address

Phone number

(972) 822-2055

Established

Firm type

Fiscal year end

# of Employees

271

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)

UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	41,738
AUM (Assets Under Management)	$ 17,211,052,120

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2024	Cover Page	Report
10/30/2023	Cover Page	Report
01/26/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Hilary G. Swain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

M&T SECURITIES, INC.

MTB ASSET MANAGEMENT, INC.

ALLFIRST BROKERAGE CORPORATION

ARTEMIS CAPITAL GROUP, INC.

CORBY CAPITAL MARKETS, INC.

CORBY CAPITAL MARKETS, INC.

Primary Firm SEC Registration

UNITED CAPITAL FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 5/1/1998

Series 63

Date: 7/19/1993

Series 7

Date: 4/19/1980

Series 53

Date: 11/7/1986

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

UNITED CAPITAL FINANCIAL ADVISORS

TRUST BUT VERIFY

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