Richard D. Swanson

KESTRA ADVISORY SERVICES

Castile, NY

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CRD#: 1382295

Professional summary

Richard David Swanson is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Castile, New York and KESTRA INVESTMENT SERVICES, LLC located in Williamsville, New York.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Richard has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Business Name: P&A Group Investment Related: Yes Address: 17 Court Street, Suite 500 Buffalo NY 14202 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Regional Director Start Date: 7/31/2015 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Corporate Retirement Plans, Individual Financial ServicesBusiness Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard David 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

April 28, 2016 - Present

KESTRA ADVISORY SERVICES, LLC

Office #2: 6400 Main Street Suite 210, Williamsville, NY 14221

RIA

CRD#: 283330

Castile, NY

Current

July 31, 2015 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 6400 Main Street Suite 210, Williamsville, NY 14221

CRD#: 42046

Williamsville, NY

Past

July 31, 2015 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

AUSTIN, TX

Past

June 1, 2009 - August 7, 2015

MORGAN STANLEY

RIA

CRD#: 149777

ROCHESTER, NY

Past

June 1, 2009 - August 7, 2015

MORGAN STANLEY

CRD#: 149777

ROCHESTER, NY

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

ROCHESTER, NY

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

ROCHESTER, NY

Past

May 13, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

ROCHESTER, NY

Past

May 13, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

ROCHESTER, NY

Past

December 1, 2003 - May 17, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ROCHESTER, NY

Past

October 7, 2003 - May 17, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

March 7, 2002 - June 27, 2003

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

November 29, 1999 - March 11, 2002

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

December 2, 1997 - November 2, 1999

M&T SECURITIES, INC.

CRD#: 17358

BALTIMORE, MD

Past

February 10, 1986 - September 30, 1997

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

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".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(11/4/2025)

Delaware
(2/3/2021)

Maine
(11/3/2025)

New Jersey
(7/31/2015)

New York
(7/31/2015)

IAR

New York
(6/7/2021)

Tennessee
(1/22/2021)

Virginia
(5/23/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/4/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/28/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/23/2002

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 12/4/1987

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/7/1986

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	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

Richard D. Swanson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard David Swanson's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

KEYBANC CAPITAL MARKETS INC.

ESSEX NATIONAL SECURITIES, LLC

M&T SECURITIES, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/4/2003

Series 63

Date: 2/28/1986

SIE

Date: 10/1/2018

Series 7

Date: 12/23/2002

Series 22

Date: 12/4/1987

Series 6

Date: 2/7/1986

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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