TrueAdvisor
TrueAdvisor
AS
AS

Alec Gaston Swofford

First Trust Advisors LP
6 Years of Experience
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment ManagementHigh Net Worth
First Trust Advisors LP
Compensation
Fee-Only (AUM)
Firm Size
555 advisors
Number of Clients
5,033 clients
Average Client Portfolio
$50.9M average
Assets Under Management
$256.3B

Fee Structure

Minimum Investment:$50K
Financial Planning:Investment management only

Location

Ibc Building, 500 West 5th Street, 8th Floor, Austin, TX, 78701

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
First Trust Advisors LP
October 2021 - Present · 4 yrs 4 mos
First Trust Portfolios L.P.Broker
October 2021 - Present · 4 yrs 4 mos
Previous Registrations
Advisors Asset Management, INC.
July 2019 - October 2021 · 2 yrs 3 mos
Advisors Asset Management, INC.Broker
June 2019 - October 2021 · 2 yrs 4 mos
State Registrations2 states
ILTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.