Mark Frederick Swingle
Investment Adviser Representative at Merit Financial Advisors
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Mark Frederick Swingle is an investment adviser representative with Merit Financial Advisors in Westfield, NJ, where they have been registered since 2024. They have worked in the securities industry since 1996 and have been registered with 5 firms, including Westfield Financial Planning and Kestra Advisory Services, LLC. They have passed 4 industry qualification exams, including the Series 7 (general securities representative), Series 63 (state securities agent), and Series 6 (investment company and variable products). They are registered to provide investment advice in New Jersey.
Office
Advisors at this office: 2
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- New Jersey
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Massachusetts Mutual LIFE Insurance COMPJul 1996 – Nov 2017Springfield, MA
- Kestra Financial Services, IncApr 2016 – Nov 2017Austin, TX
- Prospect Capital Services, Inc.Nov 2017 – no end date reportedWestfield, NJ
- Merit Financial AdvisorsJul 2024 – no end date reportedWestfield, NJ
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Merit Financial Advisors
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Other
- First $100,0001.50%
- $100,000 - $250,0001.25%
- Above $250,0001.00%
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 269
- Offices listed on AdvisorFinder:
- 25
- Main office:
- Alpharetta, GA
- SEC file number:
- 801-67462
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 24, 2026
View full firm profileOther advisors at Merit Financial Advisors
Showing 12 of 269 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Mark Frederick Swingle has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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