Michael K. Swanger
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Kraig Swanger, who also goes by (sr) Michael Kraig Swanger, Kraig Swanger, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2014 - March 18, 2019
CAPITAL PORTFOLIO ADVISORS, INC.
April 28, 2014 - July 16, 2014
ASCENT WEALTH MANAGEMENT LLC
August 2, 2010 - December 31, 2013
LINCOLN INVESTMENT
August 2, 2010 - December 31, 2013
LINCOLN INVESTMENT
August 15, 2002 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
June 5, 2002 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
July 2, 1999 - July 24, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 2, 1999 - July 24, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 18, 1997 - July 26, 1999
UBS FINANCIAL SERVICES INC.
May 8, 1992 - December 31, 1992
MARINER FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAPITAL PORTFOLIO ADVISORS, INC.
CRD#: 119708 / SEC#: 801-66444
Contact information
Regulatory assets under management
| Total Number of Accounts | 174 |
| AUM (Assets Under Management) | $ 86,423,713 |
Red Flags
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