Bruce D. Swanson

PORTFOLIO DESIGN SERVICES

River Falls, WI 54022

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CRD#: 1113446

Professional summary

Bruce David Swanson, who also goes by Bruce D Swanson, is a registered financial advisor currently at PORTFOLIO DESIGN SERVICES, LLC located in River Falls, Wisconsin.

Bruce is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Bruce has worked at 6 firms and has passed the Series 66, Series 65, Series 63, Series 15, Series 5, Series 3, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bruce D Swanson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce David Swanson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 17, 2004 - Present

PORTFOLIO DESIGN SERVICES, LLC

Office #1: 122 N. 2nd Street, River Falls, WI 54022

RIA

CRD#: 131506

River Falls, WI

Past

January 16, 2003 - July 1, 2004

VALMARK ADVISERS, INC.

RIA

CRD#: 108050

DENVER, CO

Past

November 1, 2002 - July 1, 2004

VALMARK SECURITIES, INC.

CRD#: 31243

AKRON, OH

Past

July 14, 1997 - March 3, 2004

DALE K. EHRHART, INC.

CRD#: 35971

VENICE, FL

Past

January 16, 1995 - March 10, 1995

THE INVESTMENT CENTER, INC.

CRD#: 17839

BEDMINSTER, NJ

Past

April 18, 1994 - December 31, 1994

THE INVESTMENT CENTER, INC.

CRD#: 17839

BEDMINSTER, NJ

Past

June 6, 1983 - July 23, 1993

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PORTFOLIO DESIGN SERVICES, LLC

CRD#: 131506 / SEC#: 801-80561

RIA

Registered Investment Advisory firm - (11/13/2014 Approved)

Colorado

Registered Investment Advisory firm - (12/11/2014 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2014 Terminated)

Virginia

Registered Investment Advisory firm - (12/31/2014 Terminated)

Wisconsin

Registered Investment Advisory firm - (12/31/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Virgin Islands
(5/22/2012)

IAR

Virginia
(11/30/2005)

IAR

Wisconsin
(4/25/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/3/2003

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/23/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/10/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 15

Date: 7/26/1989

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 7/26/1989

Interest Rate Options Examination

General Industry/Product Exam

Series 3

Date: 5/29/1984

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/21/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 6/7/1986

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

PORTFOLIO DESIGN SERVICES, LLC

CRD#: 131506 / SEC#: 801-80561

RIA

Registered Investment Advisory firm - (11/13/2014 Approved)

Colorado

Registered Investment Advisory firm - (12/11/2014 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2014 Terminated)

Virginia

Registered Investment Advisory firm - (12/31/2014 Terminated)

Wisconsin

Registered Investment Advisory firm - (12/31/2014 Terminated)

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Contact information

Main Address

122 N. 2nd Street, River Falls, WI 54022

Mailing Address

Phone number

(715) 629-9095

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (2/17/2025)

Regulatory assets under management

Total Number of Accounts	508
AUM (Assets Under Management)	$ 138,231,769

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Bruce D. Swanson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce David Swanson's CRS (Customer Relationship Summary).

Certified licenses

Experience

VALMARK ADVISERS, INC.

VALMARK SECURITIES, INC.

DALE K. EHRHART, INC.

THE INVESTMENT CENTER, INC.

THE INVESTMENT CENTER, INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

PORTFOLIO DESIGN SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/3/2003

Series 65

Date: 4/23/1993

Series 63

Date: 10/10/1986

Series 15

Date: 7/26/1989

Series 5

Date: 7/26/1989

Series 3

Date: 5/29/1984

Series 7

Date: 5/21/1983

Series 8

Date: 6/7/1986

Current Firm

PORTFOLIO DESIGN SERVICES, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PORTFOLIO DESIGN SERVICES, LLC

TRUST BUT VERIFY

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