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Alec Gaston Swofford

First Trust Advisors LP

Austin, TX

Wheaton, IL

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Current Employers
First Trust Advisors Lp

120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2021-10-26
TX RA APPROVED 2021-10-20
  • IL RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED
    Since 2021-10-20

Branch Locations

Ibc Building 500 West 5Th Street, 8Th Floor, Austin, TX 78701 • United States

120 E. Liberty Drive Suite 400, Wheaton, IL 60187 • 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
Advisors Asset Management, Inc Monument CO 04/2019 10/2021
Broadway National Bank San Antonio TX 05/2018 04/2019
Student Kerrville TX 08/2013 05/2018
First Trust Portfolios L.P. Wheaton IL 10/2021 Present
First Trust Advisors L.P. Wheaton IL 10/2021 Present
  • 04/2019 → 10/2021
    Advisors Asset Management, Inc
    Monument, CO
  • 05/2018 → 04/2019
    Broadway National Bank
    San Antonio, TX
  • 08/2013 → 05/2018
    Student
    Kerrville, TX
  • 10/2021 → Present
    First Trust Portfolios L.P.
    Wheaton, IL
  • 10/2021 → Present
    First Trust Advisors L.P.
    Wheaton, IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-07-11
  • S66 Uniform Combined State Law Examination
    2019-07-11

View on SEC IAPD

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JAMES S. MARROQUIN, CFP
OSAIC WEALTH, INC.

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David Nathan Van Winkle
DILDA DEEPAK DALVI
ANNA VICTORIA BODINE
Stephanie Caroline Morgan
ROBERT KING HARRELL

Other Offices

AUSTIN MONEY MANAGEMENT CORPORATION · AUSTIN, TX
EVERLONG FINANCIAL · AUSTIN, TX
EDWARD JONES · Austin, TX
HARRELL INVESTMENT PARTNERS, LLC · AUSTIN, TX
WEATHERGAGE CAPITAL, LLC · AUSTIN, TX
LBJ FAMILY WEALTH ADVISORS, LTD. · AUSTIN, TX
JAMES S. MARROQUIN, CFP · AUSTIN, TX
OSAIC WEALTH, INC. · AUSTIN, TX

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