Christopher SwansonCRD Number: 1233703
Current Firm: Compass Financial Advisors LLC
Christopher Swanson (CRD# 1233703) is an Investment Advisor Representative working at Compass Financial Advisors LLC in Fort Wayne, IN and has over 34 years of experience in the finance industry.
Ami Investment Management Inc.
Creative Financial Designs, Inc.
Transamerica Financial Advisors, Inc.
|Harbour Investments, Inc.||Madison, WI||May 2016 - Current||2|
|Compass Financial Advisors||Ft. Wayne, IN||Oct 2012 - Current||5|
|Simple Auto||Petoskey, MI||Dec 2005 - Current||12|
|Securities America, Inc.||Fort Wayne, IN||Jul 2015 - May 2016||< 1|
|Fintegra, LLC||Fort Wayne, IN||Oct 2012 - Jul 2015||2|
|Gregory, Zent & Swanson Inc.||Fort Wayne, IN||Mar 1990 - Oct 2012||22|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1984|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Criminal Record
Total Assets Under Management195MILLIONS
Total Number of Accounts1,200ACCOUNTS
Average Account Value$162,500
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
FL, IA, IL, IN, KY, MI, MN, NC, NH, OH, TX
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