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Emily Margaret Swan

Alliance Advisory & Securities, LLC

Westlake Village, CA

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Current Employers
Alliance Advisory & Securities, Llc

31248 E. Oak Crest Drive Ste 100, Westlake Village, CA 91361 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-10-26
  • CA RA
    APPROVED
    Since 2023-10-26

Branch Locations

31248 E. Oak Crest Drive Ste 100, Westlake Village, CA 91361 • 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
David S Reinders, Inc. Valencia CA 12/2018 09/2023
Cloud & Fire Arleta CA 08/2009 09/2018
Alliance Advisory & Securities, Llc Westlake Village CA 09/2023 10/2025
Alliance Advisory & Securities, Llc Westlake Village CA 11/2025 Present
Previous Registrations
  • 2022-10-21 → 2023-09-29
    David S Reinders
    Valencia, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-10-21
  • S65 Uniform Investment Adviser Law Examination
    2022-10-21
Designations
Other Names
  • Emily Margaret Auer

View on SEC IAPD

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Other Offices

MANCHESTER FINANCIAL INC · WESTLAKE VILLAGE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WESTLAKE VILLAGE, CA
EAGLE STRATEGIES LLC · WESTLAKE VILLAGE, CA
RKS MANAGEMENT, INC. · WESTLAKE VILLAGE, CA
MERCER GLOBAL ADVISORS INC. · Westlake Village, CA
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