Laura P. Swanson

FOURSTAR WEALTH ADVISORS

Chicago, IL 60602

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CRD#: 1999208

Professional summary

Laura Patricia Swanson, who also goes by Laura Patricia Giron, Patty Giron, Laura Swanson, is a registered financial advisor currently at FOURSTAR WEALTH ADVISORS, LLC located in Chicago, Illinois and REALTA EQUITIES, INC. located in Chicago, Illinois.

Laura is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Laura has worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Laura Patricia Giron | Patty Giron | Laura 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.

1)FOURSTAR WEALTH ADVISORS, LLC; INVESTMENT RELATED; 351 W HUBBARD ST SUITE 420 CHICAGO, IL 60654; RIA; DIR. OF OPERATIONS; 04/2015; 195 HOURS/MONTH; 152 HOURS/MONTH DURING SECURITIES HOURS; HR, CLIENT SERVICES, OFFICE MGMT, COMPLIANCE, ACCOUNTING. 2)FOURSTAR INSURANCE SERVICES, LLC; NOT INVESTMENT RELATED; 351 W HUBBARD ST SUITE 420; INSURANCE SALES; DIRECTOR OF OPERATIONS; 06/2015; 5 HOURS/MONTH; 5 HOURS/MONTH DURING SECURITIES HOURS; ADMINISTRATION, OPERATIONS AND CLIENT SERVICES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laura Patricia 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

July 6, 2015 - Present

FOURSTAR WEALTH ADVISORS, LLC

Office #1: 1 N. Lasalle Street Suite 2225, Chicago, IL 60602

RIA

CRD#: 169613

Chicago, IL

Current

October 2, 2020 - Present

REALTA EQUITIES, INC.

Office #1: 1 N Lasalle Street Suite 2225 , Chicago, IL 60602

CRD#: 23769

CHICAGO, IL

Past

February 1, 2020 - October 1, 2020

GREAT POINT CAPITAL LLC

CRD#: 114203

CHICAGO, IL

Past

November 8, 2017 - March 14, 2018

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Chicago, IL

Past

December 14, 2016 - November 29, 2017

CABOT LODGE SECURITIES LLC

CRD#: 159712

Chicago, IL

Past

February 4, 2013 - December 31, 2014

WADDELL & REED

RIA

CRD#: 5096

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".

FOURSTAR WEALTH ADVISORS, LLC

FAMILY WEALTH LEGACY ADVISORS | GINGER ADVISORS, LLC | FOURSTAR WEALTH ADVISORS, LLC

CRD#: 169613 / SEC#: 801-110467

RIA

Registered Investment Advisory firm - (4/21/2017 Approved)

Illinois

Registered Investment Advisory firm - (4/21/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

IAR

Illinois
(7/6/2015)

Illinois
(10/2/2020)

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: 2/2/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/29/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/14/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/20/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/26/2016

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FOURSTAR WEALTH ADVISORS, LLC

FAMILY WEALTH LEGACY ADVISORS | GINGER ADVISORS, LLC | FOURSTAR WEALTH ADVISORS, LLC

CRD#: 169613 / SEC#: 801-110467

RIA

Registered Investment Advisory firm - (4/21/2017 Approved)

Illinois

Registered Investment Advisory firm - (4/21/2017 Terminated)

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Contact information

Main Address

1 N. Lasalle Street Suite 2225, Chicago, IL 60602

Mailing Address

Phone number

(312) 667-1750

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	3,309
AUM (Assets Under Management)	$ 1,240,902,908

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/29/2025	Cover Page	Report
05/28/2024	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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Laura P. Swanson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laura Patricia Swanson's CRS (Customer Relationship Summary).

Certified licenses

Experience

REALTA EQUITIES, INC.

GREAT POINT CAPITAL LLC

PURSHE KAPLAN STERLING INVESTMENTS

CABOT LODGE SECURITIES LLC

WADDELL & REED

WADDELL & REED

ALLSTATE FINANCIAL SERVICES, LLC

NOMURA SECURITIES INTERNATIONAL, INC.

PMA SECURITIES, LLC

BNP PARIBAS SECURITIES CORP.

UBS SECURITIES LLC

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

RODMAN & RENSHAW INC.

BLINDER, ROBINSON & CO., INC.

Primary Firm SEC Registration

FOURSTAR WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/2/2013

Series 63

Date: 11/29/1989

SIE

Date: 3/14/2018

Series 7

Date: 1/20/1990

Series 24

Date: 5/26/2016

FINRA

Current Firm

FOURSTAR WEALTH ADVISORS, LLC

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FOURSTAR WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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