Kristen Swanson, financial advisor Louisville KY
88 score

Kristen Swanson

CRD Number: 6101662
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Kristen Swanson (CRD# 6101662) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Louisville, KY and has over 2 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Louisville, KY Mar 2016 - Current < 1
Raymond James & Associates Louisville, KY Dec 2014 - Mar 2016 1
Lpl Financial Louisville, KY May 2014 - Dec 2014 < 1
Lamkin Wealth Managment Louisville, KY Jul 2012 - May 2014 1
Starbucks Louisville, KY Jul 2010 - May 2013 2
Talbots Louisville, KY Sep 2007 - May 2010 2
University Of Kentucky Lexington, KY Aug 2005 - May 2010 4
Bath & Body Works Louisville, KY May 2007 - Sep 2007 < 1
Stoney River Louisville, KY Jul 2004 - Aug 2006 2
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Dec 2014
Contact Info for Kristen M. Swanson
Phone Number: 800-637-7455
Registered State(s):
  • KY
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, 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, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
88
Clean Record
This advisor has a clean track record with regulators.

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