Christopher Swaine (CRD# 5469134) is an Investment Advisor Representative working at Charles Schwab & Company, Inc. in Pasadena, CA and has over 15 years of experience in the finance industry.
CRD# 5781614
Awm Capital, LLC
CRD# 6406556
Aqua Capital Advisors
CRD# 6724246
Modern Assets, LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Charles Schwab & Company, Inc. | Pasadena, CA | Oct 2023 - Current | < 1 |
| Charles Schwab Bank, Ssb | Pasadena, CA | Oct 2023 - Current | < 1 |
| Morgan Stanley | Los Angeles, CA | Sep 2023 - Oct 2023 | < 1 |
| Morgan Stanley | Los Angeles, CA | Sep 2023 - Oct 2023 | < 1 |
| Morgan Stanley | Los Angeles, CA | Mar 2023 - Oct 2023 | < 1 |
| E*trade Securities LLC | Los Angeles, CA | Mar 2019 - Oct 2023 | 4 |
| E*trade Capital Management LLC | Los Angeles, CA | Mar 2019 - Oct 2023 | 4 |
| Unemployed | Santa Monica, CA | Nov 2018 - Mar 2019 | < 1 |
| Arbor Court Capital, LLC | Beverly Hills, CA | Apr 2018 - Oct 2018 | < 1 |
| Checchi Capital Advisers, LLC | Los Angeles, CA | Mar 2018 - Sep 2018 | < 1 |
| Llbh Private Wealth Management, LLC | Los Angeles, CA | Mar 2017 - Mar 2018 | 1 |
| E*trade Securities LLC | Los Angeles, CA | Jan 2016 - Feb 2017 | 1 |
| E*trade Capital Management LLC | Los Angeles, CA | Jan 2016 - Feb 2017 | 1 |
| Td Ameritrade | Chicago, IL | Jul 2012 - Jan 2016 | 3 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Nov 2008 |
| S65 | NASAA Investment Advisors Law Examination | Mar 2009 |
- CA
- TX
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Total Assets Under Management0MILLIONS
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Total Number of Accounts0ACCOUNTS
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Average Account Value$0
- Fixed fees (other than subscription fees)
- Other
- Financial planning services
- Selection of other advisers (including private fund managers)
- Other
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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