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CS

Christopher J. Swanson

COMPASS FINANCIAL ADVISORS
Fort Wayne, IN 46825
Some features on this profile are disabled
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.

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.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher John 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

October 11, 2012 - Present

COMPASS FINANCIAL ADVISORS LLC

Office #1: 9933 Dupont Circle Drive West Suite 100, Fort Wayne, IN 46825
RIA
CRD#: 109131
Fort Wayne, IN
Past

January 4, 2021 - December 1, 2025

AUSDAL FINANCIAL PARTNERS, INC.

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.

Highlighted states indicate IAR registrations

IAR
Indiana
(10/11/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 1/30/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/3/1985
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/29/2003
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/18/2003
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 1/21/2003
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/27/1991
General Securities Principal Examination

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

COMPASS FINANCIAL PART 2A BROCHURE (3/5/2025)

Regulatory assets under management

Total Number of Accounts750
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.

Company Information

COMPASS FINANCIAL ADVISORS LLC

CRD#: 109131Fort Wayne, IN 46825

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