Stephen Ellis Swadley
Investment adviser representative at Vanderbilt Advisory Services
15 yearsExperience
1 stateRegistered in
$2.1BFirm assets
13 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
Experience
15 years in the industry.
- Vanderbilt Advisory ServicesFeb 2025 to now
- UnemployedJul 2024 to Jan 2025
- LPL Financial LLCMar 2024 to Jul 2024
- Red Canoe Credit UnionMar 2024 to Jul 2024
- NY LifeJan 2024 to Mar 2024
- Bank of America, N.A.Aug 2019 to Nov 2023
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 2019 to Nov 2023
- Swadley Investment Management, LLCNov 2018 to Jun 2019
- Stephen Ellis Swadley dba Swadley Investment ManagementFeb 2011 to Nov 2018
Exams passed
- Series 66 · Uniform Combined State Law2000
- Series 63 · Uniform Securities Agent State Law2019
State registrations
Registered as an investment adviser representative in 1 state (WA).
Vanderbilt Advisory Services
Legal name: Pfg Investments, LLC
$2.1BAssets managed
6,470Clients
162Advisers
13 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4250353
- Firm CRD
- 116537