Bruce SwansonCRD Number: 1113446
Current Firm: Portfolio Design Services, LLC
Bruce Swanson (CRD# 1113446) is an Investment Advisor Representative working at Portfolio Design Services, LLC in Roanoke, VA and has over 30 years of experience in the finance industry.
Roger R. Bell & Company, Inc.
Ameriprise Financial Services, Inc.
Wells Fargo Advisors, LLC
|Portfolio Design Services, LLC||Denver, CO||May 2004 - Current||12|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 1986|
|S65||NASAA Investment Advisors Law Examination||Apr 1993|
|S66||NASAA Uniform Combined State Law Examination||Jan 2003|
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:
- Customer Dispute
Total Assets Under Management91MILLIONS
Total Number of Accounts550ACCOUNTS
Average Account Value$165,818
- 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
CO, FL, IL, VA, VI, WI