Emily Swan has been an investment adviser representative at Alliance Advisory & Securities since October 2023, and is not listed among the firm’s executive officers or direct owners.
Alliance Advisory & Securities, LLC is a Westlake Village, CA firm with $687M under management, 675 clients and 14 advisers across 5 offices, as of its September 2026 filing.
Emily Swan’s longest registration is the current one, 2 years at Alliance Advisory & Securities since 2023. Before joining Alliance Advisory & Securities in 2023, Emily Swan was registered through David S Reinders.
- – present · 2 yearsWestlake Village, CA · Adviser representative · Firm CRD 18835
- David S Reinders– · under a yearValencia, CA · Adviser representative · Firm CRD 143703
Investment adviser representative registrations
Emily Swan is registered as an investment adviser representative in California, since October 2023.
- CaliforniaSince 26 October 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 21 October 2022 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Emily Margaret Swan
- CRD
- 7647969
- Firm
- Alliance Advisory & Securities · CRD 18835
- Office
- 31248 E. OAK CREST DRIVE STE 100, Westlake Village, CA 91361
- Registration
- Investment adviser registration
- In the industry since
- November 2022
- Disciplinary history
- Not yet shown here · SEC record
Where does Emily Swan work?
Emily Swan is an investment adviser representative registered through Alliance Advisory & Securities, LLC since October 2023, and is not listed among the firm’s executive officers or direct owners.
Is Emily Swan a financial advisor?
Yes. Emily Swan has a current investment-adviser registration in California, through Alliance Advisory & Securities since October 2023.
How many years of experience does Emily Swan have?
Emily Swan has 3 years in the financial industry, since November 2022, across 2 adviser firms.
What exams has Emily Swan passed?
Emily Swan passed the Series 65 in October 2022.
Where did Emily Swan work before Alliance Advisory & Securities?
Before Alliance Advisory & Securities, Emily Swan was registered through David S Reinders, October 2022 to September 2023.
Where is Emily Swan based?
Emily Swan’s registered office is in Westlake Village, CA.
Is Emily Swan registered with FINRA?
No. Emily Swan has no current broker registration.
How can I verify Emily Swan’s record?
Search CRD 7647969 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Emily Swan’s full registration record.
