Lipika Swarup

Current Employers

Edelman Financial Engines

3945 Freedom Circle, Santa Clara, CA 95054 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-06-02
VA	RA	APPROVED	2020-11-09

TX RA
APPROVED_RES

Since 2025-06-02
VA RA
APPROVED

Since 2020-11-09

Branch Locations

4000 Legato Road 8Th Floor, Fairfax, VA 22033 • 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
Ef Legacy Securities, Llc	Henrico	VA	04/2016	10/2018
Financial Engines Advisors L.L.C	Santa Clara	CA	11/2018	03/2021
Financial Engines Advisors L.L.C.	Santa Clara	CA	03/2021	10/2025
Edelman Financial Engines	Santa Clara	CA	10/2025	Present

04/2016 → 10/2018

Ef Legacy Securities, Llc

Henrico, VA
11/2018 → 03/2021

Financial Engines Advisors L.L.C

Santa Clara, CA
03/2021 → 10/2025

Financial Engines Advisors L.L.C.

Santa Clara, CA
10/2025 → Present

Edelman Financial Engines

Santa Clara, CA

Other Businesses

1)MY CAKE PALS, 2)NOT INVESTMENT RELATED, 3)HERNDON, VA, 4)D/B/A, 5)OWNER, 6)10//11/2012, 7)20 HR PER MONTH, 8)0 HR DURING SUCURITIES TRADING HRS, 9)BAKE AND DECORATE CAKE ORDERS

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2020-11-09
S63	Uniform Securities Agent State Law Examination	2013-02-04

S65 Uniform Investment Adviser Law Examination

2020-11-09
S63 Uniform Securities Agent State Law Examination

2013-02-04

View on SEC IAPD

Current Employers

Edelman Financial Engines

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews