Douglas R. Swenson

SVB WEALTH

PALM BEACH GARDENS, FL 33408

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CRD#: 1235167

Professional summary

Douglas Reynolds Scott Swenson, who also goes by Scott Swenson, is a registered financial advisor currently at SVB WEALTH located in Palm Beach Gardens, Florida.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Douglas has worked at 11 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott Swenson

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) TERRA BELLA & ASSOCIATES; NOT INVESTMENT RELATED; JUPITER, FL; COMMERCIAL LANDSCAPING AND TREE FARMING; CERTIFIED ARBORIST; START DATE 11/30/06; 5 HRS/MO; DUTIES:- CERTIFIED ARBORIST. (2) IDENTITY SOLUTIONS; NOT INVESTMENT RELATED; 8254 LONG BAY BLVD SARASOTA, FL; IDENTITY THEFT RECOVERY; MARKETING & INTRODUCING COMPANY; 08/2008; 12 HR/MO; 0 HR/MO DURING SECURITIES TRADING HRS; CONTACTING AND INTRODUCING BUSINESSES TO IDENTITY SOLUTIONS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Reynolds Scott Swenson'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

January 30, 2015 - Present

SVB WEALTH

Office #1: 11770 Us Highway 1 Suite E401, Palm Beach Gardens, FL 33408

RIA

CRD#: 172832

PALM BEACH GARDENS, FL

Past

February 28, 2011 - November 26, 2014

BANYAN PARTNERS, LLC

RIA

CRD#: 141398

PALM BEACH GARDENS, FL

Past

July 17, 2009 - March 1, 2011

WEISS CAPITAL MANAGEMENT, INC.

RIA

CRD#: 106640

PALM BEACH GARDENS, FL

Past

June 1, 2009 - January 19, 2011

WEISS CAPITAL SECURITIES, INC.

CRD#: 39166

JUPITER, FL

Past

April 15, 2008 - May 12, 2009

NATIONAL SECURITIES CORPORATION

CRD#: 7569

PALM BEACH GARDENS, FL

Past

September 4, 2001 - April 23, 2008

GUNNALLEN FINANCIAL, INC

CRD#: 17609

PALM BEACH GARDENS, FL

Past

February 2, 1998 - September 6, 2001

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

October 10, 1994 - February 11, 1998

JWGENESIS SECURITIES, INC.

CRD#: 33832

BOCA RATON, FL

Past

January 6, 1993 - October 12, 1994

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

January 29, 1991 - December 31, 1992

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

ATLANTA, GA

Past

January 16, 1985 - January 9, 1991

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

January 26, 1984 - January 18, 1985

APPLE FINANCIAL CORPORATION

CRD#: 10375

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".

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 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

Florida
(1/30/2015)

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 65

Date: 6/21/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/29/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/21/1984

General Securities Representative Examination

Current Firm

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 Approved)

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Contact information

Main Address

53 State Street 28th Floor, Boston, MA 02109

Mailing Address

Po Box 27131, Raleigh, NC 27611

Phone number

(617) 223-0200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SVB WEALTH LLC (3/30/2025)

SVB WEALTH LLC APPENDIX 1/ WRAP BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	3,739
AUM (Assets Under Management)	$ 4,983,411,995

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/21/2025	Cover Page	Report
09/20/2024	Cover Page	Report
10/31/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Douglas R. Swenson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Reynolds Scott Swenson's CRS (Customer Relationship Summary).

Certified licenses

Experience

BANYAN PARTNERS, LLC

WEISS CAPITAL MANAGEMENT, INC.

WEISS CAPITAL SECURITIES, INC.

NATIONAL SECURITIES CORPORATION

GUNNALLEN FINANCIAL, INC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

JWGENESIS SECURITIES, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

ADVANTAGE CAPITAL CORPORATION

H.J. MEYERS & CO., INC.

APPLE FINANCIAL CORPORATION

Primary Firm SEC Registration

SVB WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 6/21/2009

Series 63

Date: 3/29/1984

Series 7

Date: 1/21/1984

Current Firm

SVB WEALTH

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SVB WEALTH

TRUST BUT VERIFY

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