Stephen D Swander

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
AR	RA	APPROVED	2020-02-13
LA	RA	APPROVED	2016-01-29
TX	RA	APPROVED_RES	1999-07-12

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Lafayette	LA	06/1998	Present
Bank Of America,N.A.	Shreveport	LA	06/2011	Present

06/1998 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Lafayette, LA
06/2011 → Present

Bank Of America,N.A.

Shreveport, LA

Code	Exam	Date
S66	Uniform Combined State Law Examination	1998-10-30

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