Seth Franklin Swindle

Current Employers

Strive Investment Management, Llc

American Fork, UT • United States

Current Registrations

Authority	Category	Status	Date
UT	RA	APPROVED	2017-01-11

UT RA
APPROVED

Since 2017-01-11

Branch Locations

American Fork, UT • United States

Disclosures

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

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Certiport, Inc.	American Fork	UT	02/2011	01/2018
Strive Investment Management, Llc	American Fork	UT	03/2016	Present

02/2011 → 01/2018

Certiport, Inc.

American Fork, UT
03/2016 → Present

Strive Investment Management, Llc

American Fork, UT

Previous Registrations

2007-11-13 → 2008-02-12

Morgan Stanley & Co. Llc

Portland, OR

Other Businesses

2019-Present: /investment related/American Fork, UT/Life Insurance Sales/Independent Insurance Agent/Involves less than 2 hours each month, including during traditional business hours./I occassionally sell life insurance to clients.//

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-06-01
S66	Uniform Combined State Law Examination	2007-11-07

S65 Uniform Investment Adviser Law Examination

2016-06-01
S66 Uniform Combined State Law Examination

2007-11-07

Designations

Other Names

Seth F. Swindle
Seth Swindle

View on SEC IAPD