Steven A. Swingler
Professional summary
Steven Alan Swingler, who also goes by Steven Swingler, Steven A Swingler, Steven A. Swingler, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Highland, Indiana and CETERA INVESTMENT SERVICES LLC located in Highland, Indiana.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Steven has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Steven Alan Swingler's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 27, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 9701 Indianapolis Boulevard, Highland, IN 46322July 27, 2023 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 9701 Indianapolis Boulevard, Highland, IN 46322June 2, 2022 - July 11, 2023
VANGUARD ADVISERS, INC.
May 18, 2022 - July 11, 2023
VANGUARD MARKETING CORPORATION
September 27, 2021 - October 20, 2021
PARK AVENUE SECURITIES LLC
September 22, 2020 - August 3, 2021
TD AMERITRADE, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/21/2023)
(8/24/2023)
(8/24/2023)
(8/24/2023)
(8/24/2023)
(9/21/2023)
(7/27/2023)
(7/27/2023)
(7/27/2023)
(9/21/2023)
(7/27/2023)
(9/21/2023)
(9/21/2023)
(6/28/2024)
(9/21/2023)
(9/21/2023)
(9/21/2023)
Exams
Series 7TO
Date: 9/22/2020
General Securities Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
