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Allegra Marie Swan

Allworth Financial, L.P.

Los Gatos, CA

Folsom, CA

CRD 5910316

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Employer firm

Allworth Financial, L.p. CRD 111167

$33.6B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

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

Current Employers
Allworth Financial, L.P.

340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-07-02
  • CA RA
    APPROVED
    Since 2021-07-02

Branch Locations

644 N. Santa Cruz Ave. Ste: 3, Los Gatos, CA 95030 • United States

340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • 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
OrganizationCityStateFromTo
Lpl Financial Llc Los Gatos CA 09/2012 07/2021
Strategic Wealth Advisors Group, Llc Los Gatos CA 03/2017 07/2021
Aw Securities Los Gatos CA 07/2021 Present
Allworth Financial Los Gatos CA 07/2021 Present
  • 09/2012 → 07/2021
    Lpl Financial Llc
    Los Gatos, CA
  • 03/2017 → 07/2021
    Strategic Wealth Advisors Group, Llc
    Los Gatos, CA
  • 07/2021 → Present
    Aw Securities
    Los Gatos, CA
  • 07/2021 → Present
    Allworth Financial
    Los Gatos, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-11-05
  • S66 Uniform Combined State Law Examination
    2012-11-05
Designations
  • Certified Financial Planner
Other Names
  • Allegra Swan

View on SEC IAPD

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