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Alan Lee Swingler is a financial_advisor professional located in Highland, IN. They specialize in financial advisory. With over 42 years of experience, they bring deep expertise to every client.
Alan Lee Swingler - Cetera Investment Services Llc holds an active professional license (FINRA CRD) for your protection.
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Alan Lee Swingler operates Cetera Investment Services Llc in Highland, Indiana, bringing 42 years of experience in financial advisory. Registered with FINRA under CRD number 1143757, Swingler works within the regulatory framework that governs investment professionals and broker-dealers. With four decades in the financial services industry, the business serves clients seeking investment guidance and portfolio management in the Highland area.
Swingler holds a FINRA CRD registration, which identifies him as a financial professional subject to FINRA oversight. The CRD (Central Registration Depository) number connects to regulatory records maintained by the Financial Industry Regulatory Authority. This registration signals that Swingler operates under FINRA's compliance requirements and disciplinary jurisdiction, which govern investment advisors and broker-dealer representatives. Clients can verify registration status and review any disciplinary history through FINRA's public BrokerCheck database using the CRD number.