Emily M. Swan

ALLIANCE ADVISORY & SECURITIES

Westlake Village, CA 91361

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CRD#: 7647969

Professional summary

Emily Margaret Swan, who also goes by Emily Margaret Auer, is a registered financial advisor currently at ALLIANCE ADVISORY & SECURITIES, INC. located in Westlake Village, California.

Emily is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Emily has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Emily Margaret Auer

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 Emily Margaret Swan'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

October 26, 2023 - Present

ALLIANCE ADVISORY & SECURITIES, INC.

Office #1: 31248 E. Oak Crest Drive Ste 100, Westlake Village, CA 91361

RIA

CRD#: 18835

Westlake Village, CA

Past

October 21, 2022 - September 29, 2023

DAVID S REINDERS

RIA

CRD#: 143703

VALENCIA, CA

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".

ALLIANCE ADVISORY & SECURITIES, INC.

CRD#: 18835 / SEC#: 801-67105, 8-36999

RIA

Registered Investment Advisory firm - SEC (9/5/2006 Approved)

California

Registered Investment Advisory firm - SEC (9/11/2006 Terminated)

Texas

Registered Investment Advisory firm - SEC (9/5/2006 Terminated)

Terminated by SEC on 08/22/2021

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(10/26/2023)

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: 10/21/2022

Uniform Investment Adviser Law Examination

Current Firm

ALLIANCE ADVISORY & SECURITIES, INC.

CRD#: 18835 / SEC#: 801-67105, 8-36999

RIA

Registered Investment Advisory firm - SEC (9/5/2006 Approved)

California

Registered Investment Advisory firm - SEC (9/11/2006 Terminated)

Texas

Registered Investment Advisory firm - SEC (9/5/2006 Terminated)

Terminated by SEC on 08/22/2021

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Contact information

Main Address

31248 E. Oak Crest Drive Ste 100, Westlake Village, CA 91361

Mailing Address

Phone number

(805) 371-8020

Established

California since 05/12/1982

Firm type

Corporation

Fiscal year end

June

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-03 ADV PART 2A+2B - FIRM BROCHURE (3/24/2025)

Direct owners and executive officers

Name	Position	CRD#
ALLIANCE FINANCIAL GROUP, INC.	PARENT CORPORATION
GARAGLIANO, JEFFREY THOMAS	CHIEF COMPLIANCE OFFICER	3208095
SANADA, JERRY VINCENT	FINANCIAL AND OPERATIONS OFFICER	2653139
SANADA, RANDALL PAUL	PRESIDENT	409938
SANADA, RANDALL PAUL JR	VICE PRESIDENT	2785856

Regulatory assets under management

Total Number of Accounts	2,728
AUM (Assets Under Management)	$ 639,384,881

Disclosures

Regulatory Event

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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Emily M. Swan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emily Margaret Swan's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLIANCE ADVISORY & SECURITIES, INC.

DAVID S REINDERS

Primary Firm SEC Registration

ALLIANCE ADVISORY & SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/21/2022

Current Firm

ALLIANCE ADVISORY & SECURITIES, INC.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ALLIANCE ADVISORY & SECURITIES, INC.

TRUST BUT VERIFY

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