Noel Bateman Swain

Current Employers

The Fiduciary Alliance

135 S Main St Suite 600, Greenville, SC 29601 • United States

Current Registrations

Authority	Category	Status	Date
SC	RA	APPROVED	2026-06-25

SC RA
APPROVED

Since 2026-06-25

Branch Locations

135 S Main St Suite 600, Greenville, SC 29601 • United States

223 East Blackstock Road , Spartanburg, SC 29301 • 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
Cambridge Investement Research, Inc.	Fairfield	IA	03/2016	06/2026
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	03/2016	06/2026
The Fiduciary Alliance	Greenville	SC	06/2026	Present

03/2016 → 06/2026

Cambridge Investement Research, Inc.

Fairfield, IA
03/2016 → 06/2026

Cambridge Investment Research Advisors, Inc.

Fairfield, IA
06/2026 → Present

The Fiduciary Alliance

Greenville, SC

Previous Registrations

2016-03-22 → 2026-07-01

Cambridge Investment Research Advisors, Inc.

Spartanburg, SC
1996-04-23 → 2016-04-21

Transamerica Financial Advisors, Llc

Spartanburg, SC

Other Businesses

PROVEST WEALTH ADVISORS, INC., 223 E. Blackstock Rd, Spartanburg SC 29301, 03/2016, Investment Advisor Representative, DBA Name, INV REL, 160 HR/MO, 120 HR/MO TRADING.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1984-07-16

S63 Uniform Securities Agent State Law Examination

1984-07-16

Designations

Other Names

Noel B Swain

View on SEC IAPD

Current Employers

The Fiduciary Alliance

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Designations

Other Names

Other Firms

Other Investors

Other Offices

Reviews