CS
Christopher J. Swanson
COMPASS FINANCIAL ADVISORS LLC
Fort Wayne, IN 46825
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CRD#: 1233703
CS
Professional summary
Christopher John Swanson, who also goes by Chris Swanson, is a registered financial advisor currently at COMPASS FINANCIAL ADVISORS LLC located in Fort Wayne, Indiana and AUSDAL FINANCIAL PARTNERS, INC. located in Fort Wayne, Indiana.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Christopher has worked at 7 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 3, Series 7, Series 4, Series 53, Series 28 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris 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.
1) COMPASS FINANCIAL ADVISORS, LLC; INVESTMENT RELATED; FORT WAYNE, IN; RIA; IAR; ACTIVITY BEGAN 10/2012; I DEVOTE 80 HOURS PER MONTH TO THIS ACTIVITY ALL DURING TRADING HOURS; ASSIST CLIENTS WITH FINANCIAL GOALS. 2) INSURANCE SALES; INVESTMENT RELATED; FORT WAYNE, IN; INSURANCE SALES; AGENT;ACTIVITY BEGAN IN 1983; I DEVOTE LESS THAN ONE HOUR PER MONTH TO THIS ACTIVITY; SALE OF INSURANCE PRODUCTS. 3) SIMPLE AUTO SIMPLE CREDIT; NON INVESTMENT RELATED; PETOSKEY, MI; USED CAR CREDIT; PRESIDENT; ACTIVITY BEGAN 12/2005; I DEVOTE APXX 80 HOURS PER MONTH TO THIS ACTIVITY WITH 40 OF THOSE HOURS DURING TRADING HOURS; MANAGERIAL DUTIES.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher John Swanson's 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®
NoneExperience
Current
October 11, 2012 - Present
COMPASS FINANCIAL ADVISORS LLC
Office #1: 9933 Dupont Circle Drive West Suite 100, Fort Wayne, IN 46825RIA
CRD#: 109131
Fort Wayne, IN
Current
January 4, 2021 - Present
AUSDAL FINANCIAL PARTNERS, INC.
Office #1: 9933 Dupont Circle Drive West, Fort Wayne, IN 46825RIA
BD
CRD#: 7995
Fort Wayne, IN
Past
May 20, 2016 - December 31, 2020
HARBOUR INVESTMENTS, INC.
BD
CRD#: 19258
Fort Wayne, IN
Past
July 16, 2015 - May 25, 2016
SECURITIES AMERICA, INC.
BD
CRD#: 10205
FORT WAYNE, IN
Past
October 9, 2012 - July 22, 2015
FINTEGRA, LLC
BD
CRD#: 16741
FORT WAYNE, IN
Past
December 8, 1998 - December 3, 2012
GREGORY, ZENT & SWANSON INC.
RIA
CRD#: 22590
FORT WAYNE, IN
Past
March 29, 1990 - November 28, 2012
GREGORY, ZENT & SWANSON INC.
BD
CRD#: 22590
FORT WAYNE, IN
Past
April 1, 1984 - March 8, 1990
RONEY & CO. L.L.C.
BD
CRD#: 900
DETROIT, MI
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".
CF
COMPASS FINANCIAL ADVISORS LLC
BROOKE POINT MANAGEMENT | PARTRIDGE FINANCIAL SERVICES | KENILWORTH, A DIVISION OF COMPASS FINANCIAL ADVISORS LLC | GUIDANCE WEALTH LLC | COMPASS FINANCIAL ADVISORS LLC | CFA INVESTMENTS
CRD#: 109131 / SEC#: 801-56002
RIA
Registered Investment Advisory firm - (11/30/1998 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/4/2021)
RR
Arkansas(1/4/2021)
RR
California(3/18/2021)
RR
Colorado(3/18/2021)
RR
Florida(1/4/2021)
RR
Georgia(5/17/2021)
RR
Illinois(1/4/2021)
IAR
Indiana(10/11/2012)
RR
Indiana(1/4/2021)
RR
Kansas(1/5/2021)
RR
Kentucky(1/6/2021)
RR
Michigan(1/4/2021)
RR
Minnesota(1/4/2021)
RR
New Hampshire(3/17/2021)
RR
North Dakota(1/4/2021)
RR
Ohio(1/4/2021)
RR
South Carolina(5/13/2021)
RR
Tennessee(1/4/2021)
RR
Texas(1/4/2021)
RR
Virginia(1/4/2021)
RR
Washington(1/4/2021)
RR
Wisconsin(1/4/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 1/21/2003
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CF
COMPASS FINANCIAL ADVISORS LLC
BROOKE POINT MANAGEMENT | PARTRIDGE FINANCIAL SERVICES | KENILWORTH, A DIVISION OF COMPASS FINANCIAL ADVISORS LLC | GUIDANCE WEALTH LLC | COMPASS FINANCIAL ADVISORS LLC | CFA INVESTMENTS
CRD#: 109131 / SEC#: 801-56002
RIA
Registered Investment Advisory firm - (11/30/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9933 Dupont Circle Drive West Suite 100, Fort Wayne, IN 46825
Mailing Address
Phone number
(260) 490-7878
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 750 |
| AUM (Assets Under Management) | $ 264,674,639 |
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.
