DFX Intelligence

Data Factory

RIA / WealthAdvisor38 years in industry

WILLIAM LEE SWEARINGEN

Advisor at UNITED CAPITAL FINANCIAL ADVISORS

IRVING, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:24ebb2df-64fb-20ab-008e-f19e187bbcbc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 21, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UNITED CAPITAL FINANCIAL ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 24, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Feb 24, 1988
First registration: Mar 21, 2002
Dual registered: no
Other names: WILLIAM LEE SWEARINGEN|WILLIAM LEE SWEARINGEN
IAPD individual key: 1800451

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UNITED CAPITAL FINANCIAL ADVISORS	Independent wealth	Dec 5, 2007	n/a	yes	IRVING, TX	Current employment
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Nov 1, 2017	Jun 13, 2019	no	IRVING, TX	Previous registration
GIRARD SECURITIES, INC.	Former SEC adviser	Sep 29, 2011	Nov 1, 2017	no	IRVING, TX\|SAN DIEGO, CA\|DALLAS, TX	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Dec 17, 2004	Dec 6, 2007	no	DALLAS, TX\|DALLAS, TX	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 21, 2002	Jan 5, 2005	no	DALLAS, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CETERA ADVISOR NETWORKS LLC	n/a	Jun 13, 2019	n/a	n/a	Departure no registered destination	Departure
GIRARD SECURITIES, INC.	CETERA ADVISOR NETWORKS LLC	Nov 1, 2017	Nov 1, 2017	0	Bulk transfer	Other
J.P. MORGAN SECURITIES LLC	UNITED CAPITAL FINANCIAL ADVISORS	Dec 6, 2007	Dec 5, 2007	-1	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	J.P. MORGAN SECURITIES LLC	Jan 5, 2005	Dec 17, 2004	-19	Firm change	Wirehouse to wirehouse

Relationships

Registered with (5)

→ UNITED CAPITAL FINANCIAL ADVISORSRegistered adviserregistration: current employment
Dec 5, 2007 to presentfactForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Nov 1, 2017 to Jun 13, 2019factForm ADV
→ GIRARD SECURITIES, INC.Registered adviserregistration: previous registration
Sep 29, 2011 to Nov 1, 2017factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Dec 17, 2004 to Dec 6, 2007factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 21, 2002 to Jan 5, 2005factForm ADV

Dated events

No dated event names this entity yet.