Andrew J. Swenson
Professional summary
Andrew James Swenson is a registered financial advisor currently at ARS WEALTH ADVISORS located in St Pertersburg, Florida.
Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Andrew has worked at 4 firms and has passed the Series 65 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Andrew James Swenson's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 1, 2021 - Present
ARS WEALTH ADVISORS
Office #1: 111 Second Avenue Ne Suite 204, St Pertersburg, FL 33701June 2, 2008 - July 1, 2021
ARS WEALTH ADVISORS
August 5, 1998 - June 30, 2003
BANKERS INTERNATIONAL SECURITIES, INC.
May 22, 1998 - October 25, 1999
PREFERRED WESTERN INTERNATIONAL SECURITIES, INC.
Primary Firm SEC Registration
ARS WEALTH ADVISORS
CRD#: 314882 / SEC#: 801-121501
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/21/2021)
(7/1/2021)
Exams
Series 28
Date: 4/23/1998
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
ARS WEALTH ADVISORS
CRD#: 314882 / SEC#: 801-121501
Contact information
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,652 |
| AUM (Assets Under Management) | $ 1,470,401,278 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/11/2024 | ||
| 10/04/2023 | ||
| 08/02/2022 |
Red Flags
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