Keaton SwayzeCRD Number: 4434951
Current Firm: Strategic Advisers, Inc.
Keaton Swayze (CRD# 4434951) is an Investment Advisor Representative working at Strategic Advisers, Inc. in Southlake, TX and has over 15 years of experience in the finance industry.
Khp Capital LLC
Commonwealth Financial Network
Vanderpal Capital Management LLC
|Fidelity Investments||The Woodlands, TX||Jul 2013 - Current||4|
|Unemployed||Spring, TX||Jan 2013 - Jul 2013||< 1|
|Fidelity Investments||Portland, OR||Apr 2011 - Jan 2013||1|
|Unemployed||Portland, OR||Mar 2011 - Apr 2011||< 1|
|Unemployed||Breezy Point, MN||Nov 2010 - Mar 2011||< 1|
|Wells Fargo Investments||Brainerd, MN||Mar 2010 - Nov 2010||< 1|
|Wells Fargo Bank||Brainerd, MN||Jan 2010 - Nov 2010||< 1|
|Chase Investment Services Corp||Bellaire, TX||Sep 2009 - Jan 2010||< 1|
|Wells Fargo Investments, LLC||Pequot Lakes, MN||Mar 2009 - Aug 2009||< 1|
|Proequities, Inc.||Minneapolis, MN||Feb 2008 - Feb 2009||1|
|Protective Life||Minneapolis, MN||Jan 2008 - Feb 2009||1|
|Riversource Distributors, Inc.||Minneapolis, MN||Jan 2007 - Dec 2007||< 1|
|Amperiprise Financial Services, Inc.||Minneapolis, MN||Mar 2006 - Jan 2007||< 1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 2001|
|S66||NASAA Uniform Combined State Law Examination||Jun 2005|
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:
- Financial Issue
Total Assets Under Management236,390MILLIONS
Total Number of Accounts619,100ACCOUNTS
Average Account Value$381,828
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, 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, VT, WA, WI, WV
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