Amy C. Swearingen

SAGE ADVISORY SERVICES LTD CO

Austin, TX 78735-6202

Some features on this profile are disabled

CRD#: 733206

Professional summary

Amy Carole Swearingen, who also goes by Amy Carole Neves, is a registered financial advisor currently at SAGE ADVISORY SERVICES LTD CO located in Austin, Texas.

Amy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Amy has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Amy Carole Neves

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) - RIA

Click below to view Amy Carole Swearingen'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

February 27, 2020 - Present

SAGE ADVISORY SERVICES LTD CO

Office #1: 5900 Southwest Parkway Building 1, Suite 100, Austin, TX 78735-6202

RIA

CRD#: 106236

Austin, TX

Past

February 28, 2018 - December 31, 2019

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

CRD#: 287788

Irving`, TX

Past

April 5, 2011 - December 4, 2020

AMERICAN BEACON ADVISORS, INC.

RIA

CRD#: 105552

IRVING, TX

Past

February 4, 2011 - February 28, 2018

FORESIDE FUND SERVICES, LLC

CRD#: 46106

IRVING, TX

Past

January 1, 2010 - June 5, 2010

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

ATLANTA, GA

Past

July 30, 2002 - January 1, 2010

INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.

RIA

CRD#: 109264

HOUSTON, TX

Past

October 27, 1998 - June 5, 2010

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

July 12, 1996 - June 11, 1998

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

September 12, 1995 - July 17, 1996

FIRST INTERSTATE INVESTMENTS,INC.

CRD#: 17101

Past

July 13, 1994 - November 15, 1995

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

June 23, 1981 - July 22, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

SAGE ADVISORY SERVICES LTD CO

CRD#: 106236 / SEC#: 801-52937

RIA

Registered Investment Advisory firm - (9/24/1996 Approved)

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

Texas
(2/27/2020)

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 66

Date: 7/10/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/5/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/1981

General Securities Representative Examination

Current Firm

SAGE ADVISORY SERVICES LTD CO

CRD#: 106236 / SEC#: 801-52937

RIA

Registered Investment Advisory firm - (9/24/1996 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

5900 Southwest Parkway Building 1, Suite 100, Austin, TX 78735-6202

Mailing Address

Phone number

(512) 327-5530

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAGE ADVISORY SERVICES LTD. CO. (3/28/2025)

Regulatory assets under management

Total Number of Accounts	12,206
AUM (Assets Under Management)	$ 24,975,056,606

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.

Similar Advisors

Steven Gallegos

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Austin, TX

Eric Pomerantz

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Austin, TX

Jeffrey Weeks

ATX PORTFOLIO ADVISORS, LLC

IAR

Austin, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Amy C. Swearingen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Carole Swearingen's CRS (Customer Relationship Summary).

Certified licenses

Experience

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

AMERICAN BEACON ADVISORS, INC.

FORESIDE FUND SERVICES, LLC

INVESCO ADVISERS, INC.

INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.

INVESCO DISTRIBUTORS, INC.

BANC ONE SECURITIES CORPORATION

FIRST INTERSTATE INVESTMENTS,INC.

ESSEX NATIONAL SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

SAGE ADVISORY SERVICES LTD CO

State Registrations and Notice Filings

Exams

Series 66

Date: 7/10/2002

Series 63

Date: 8/5/1981

SIE

Date: 10/1/2018

Series 7

Date: 6/20/1981

Current Firm

SAGE ADVISORY SERVICES LTD CO

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAGE ADVISORY SERVICES LTD CO

TRUST BUT VERIFY

Similar Advisors