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Detailed Report
MARK FREDERICK SWINGLE
MARK FREDRICK SWINGLE
CRD#: 2785218
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Investment Adviser
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Previous Broker
MERIT FINANCIAL ADVISORSCRD#: 142457 316 East Broad St
Westfield, NJ 07090
Registration History
1996199820002002200420062008201020122014201620182020202220242026IAMERIT FINANCIAL ADVISORS (CRD# 142457)2024 - Present (<1 year)BKESTRA INVESTMENT SERVICES, LLC (CRD# 42046)2004 - 2017 (12 years)BMML INVESTORS SERVICES, INC. (CRD# 10409)1996 - 2004 (8 years)IAWESTFIELD FINANCIAL PLANNING (CRD# 290102)2017 - 2024 (6 years)IAKESTRA ADVISORY SERVICES, LLC (CRD# 283330)2016 - 2017 (1 year)IANFP ADVISOR SERVICES, LLC (CRD# 42046)2004 - 2016 (11 years)IAMML INVESTORS SERVICES, INC. (CRD# 10409)2002 - 2004 (2 years)
License(s)

State Registrations

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New Jersey 7/29/2024
Current Registration(s)
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MERIT FINANCIAL ADVISORS (CRD#:142457)
316 East Broad St, Westfield, NJ 07090
Registered with this firm since 7/29/2024
Previous Registration(s)
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 11/21/2017 - 08/13/2024 WESTFIELD FINANCIAL PLANNING (CRD#:290102) WESTFIELD, NJ
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 04/26/2016 - 11/17/2017 KESTRA ADVISORY SERVICES, LLC (CRD#:283330) WESTFIELD, NJ
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 12/10/2004 - 11/17/2017 KESTRA INVESTMENT SERVICES, LLC (CRD#:42046) WESTFIELD, NJ
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 12/10/2004 - 09/22/2016 NFP ADVISOR SERVICES, LLC (CRD#:42046) WESTFIELD, NJ
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 06/20/2002 - 12/13/2004 MML INVESTORS SERVICES, INC. (CRD#:10409) WESTFIELD, NJ
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 08/21/1996 - 12/13/2004 MML INVESTORS SERVICES, INC. (CRD#:10409) SPRINGFIELD, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.