Best Investors Account Sign in
Inactive

Richard Alfred Swartz

Swartz Advisory LLC

Indianapolis, IN

Claim This Profile
Current Employers
Swartz Advisory Llc

Indianapolis, IN • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2024-07-18
  • IN RA
    APPROVED
    Since 2024-07-18

Branch Locations

Indianapolis, IN • 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
Unemployed Chicago IL 10/2015 10/2016
First Analysis Chicago IL 04/2017 06/2017
Ready4, Inc. Chicago IL 08/2017 07/2018
Veritas Prep Chicago IL 11/2016 07/2018
Swartz Advisory Llc Stow OH 07/2018 Present
Swartz Consulting Llc Chicago IL 02/2018 12/2020
  • 10/2015 → 10/2016
    Unemployed
    Chicago, IL
  • 04/2017 → 06/2017
    First Analysis
    Chicago, IL
  • 08/2017 → 07/2018
    Ready4, Inc.
    Chicago, IL
  • 11/2016 → 07/2018
    Veritas Prep
    Chicago, IL
  • 07/2018 → Present
    Swartz Advisory Llc
    Stow, OH
  • 02/2018 → 12/2020
    Swartz Consulting Llc
    Chicago, IL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2023-07-21
S65 Uniform Investment Adviser Law Examination 2018-08-31
  • S63 Uniform Securities Agent State Law Examination
    2023-07-21
  • S65 Uniform Investment Adviser Law Examination
    2018-08-31
Designations

View on SEC IAPD

More in Indianapolis, IN

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor