Brian SwillingCRD Number: 4956839
Current Firm: Waddell & Reed
Compensation Model: Both
Brian Swilling (CRD# 4956839) is an Investment Advisor Representative working at Waddell & Reed in Charlotte, NC and has over 12 years of experience in the finance industry.
Prospera Financial Services, Inc.
Dalton Financial LLC
M Holdings Securities, Inc.
|Waddell & Reed Inc.||Charlotte, NC||Jun 2015 - Current||3|
|Various Insurance Carriers For W & R Insurance Agencies||Belmont, NC||Jun 2015 - Current||3|
|Credit Suisse Securities (usa) LLC||New York, NY||Jul 2006 - Nov 2014||8|
|Societe Generale||New York, NY||Apr 2005 - Jul 2006||1|
|Bank of America||New York, NY||Feb 2004 - Apr 2005||1|
|Exam Code||Name||Passed Date|
|S7||General Securities Representative Examination (GS)||Jul 2005|
|S63||Uniform Securities State Law Examination||Nov 2006|
|S65||NASAA Investment Advisors Law Examination||Aug 2015|
Total Assets Under Management19,057MILLIONS
Total Number of Accounts153,035ACCOUNTS
Average Account Value$124,526
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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