Christopher John Swanson
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. Christopher is registered as an IAR (Investment Advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Chris Swanson
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
BROOKE POINT MANAGEMENT | PARTRIDGE FINANCIAL SERVICES | KENILWORTH, A DIVISION OF COMPASS FINANCIAL ADVISORS LLC | GUIDANCE WEALTH LLC | COMPASS FINANCIAL ADVISORS LLC | CFA INVESTMENTS
Contact Information
Main Address
9933 Dupont Circle Drive West Suite 100, Fort Wayne, IN 46825Phone Number
(260) 490-7878# of Employees
9SEC notice filing (11 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
730AUM (Assets Under Management)
$282,474,625Similar Advisors
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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.
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Primary Firm SEC Registration
BROOKE POINT MANAGEMENT | PARTRIDGE FINANCIAL SERVICES | KENILWORTH, A DIVISION OF COMPASS FINANCIAL ADVISORS LLC | GUIDANCE WEALTH LLC | COMPASS FINANCIAL ADVISORS LLC | CFA INVESTMENTS
State Registrations and Notice Filings
(10/11/2012)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jan 2003About the Series 28 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Christopher John Swanson's CRS (Customer Relationship Summary).
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