James R. Swanson
Professional summary
James Robert Swanson, who also goes by Jim Swanson, is a registered financial advisor currently at JRS INVESTMENTS AND WEALTH PRESERVATION, LLC located in Union, Washington.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. James has worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 4, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Robert Swanson's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 4, 2008 - Present
JRS INVESTMENTS AND WEALTH PRESERVATION, LLC
June 25, 2002 - June 24, 2008
NEXT FINANCIAL GROUP, INC.
April 3, 2002 - June 24, 2008
NEXT FINANCIAL GROUP, INC.
August 26, 1999 - November 28, 2001
CUSO FINANCIAL SERVICES, L.P.
May 10, 1994 - September 1, 1999
DEAM INVESTOR SERVICES, INC.
August 3, 1993 - April 20, 1994
SUNAMERICA SECURITIES, INC.
April 6, 1988 - August 10, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 6, 1988 - August 10, 1993
EQUITABLE ADVISORS, LLC
April 9, 1984 - May 29, 1984
SEA INVESTORS CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/4/2008)
(6/5/2020)
(9/11/2015)
Exams
Current Firm
JRS INVESTMENTS AND WEALTH PRESERVATION, LLC
CRD#: 146933 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 172 |
| AUM (Assets Under Management) | $ 15,814,209 |
Red Flags
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