DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Darlene Flores Swatik
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
Also filed as Darlene Flores
At current firm
17 y
since Aug 5, 2009
In the industry
25 y
since Jul 27, 2001 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- U.S. Bancorp Advisors, LLC BD affiliated currentsince Aug 5, 2009 · Torrance, Ca
- Chase Investment Services Corp. formerMay 2, 2009 to Jul 31, 2009 · Torrance, Ca
- Wamu Investments, Inc. unclassifiedDec 3, 2004 to May 2, 2009 · Manhattan Beach, Ca
- Citicorp Investment Services unclassifiedApr 29, 2004 to Nov 16, 2004 · Lakewood, Ca
Moves
a registration end followed by a registration begin elsewhere
- Chase Investment Services Corp. to U.S. Bancorp Advisors, LLCleft Jul 31, 2009, registered Aug 5, 2009 (5 days) · Other
- Wamu Investments, Inc. to Chase Investment Services Corp.left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- Citicorp Investment Services to Wamu Investments, Inc.left Nov 16, 2004, registered Dec 3, 2004 (17 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address