Scott A. Swanson
Professional summary
Scott Allan Swanson is a registered financial professional currently at INTEGRITY CAPITAL, LLC located in Fort Wayne, Indiana.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1992. Scott has worked at 8 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 6 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Allan Swanson's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 31, 2025 - Present
INTEGRITY CAPITAL, LLC
Office #1: 888 S Harrison St., Suite 900, Fort Wayne, IN 46802December 1, 2022 - January 31, 2025
FIRST PALLADIUM, LLC
June 29, 2012 - September 20, 2018
P.J. ROBB VARIABLE, LLC
July 2, 2008 - July 2, 2010
THE O.N. EQUITY SALES COMPANY
May 9, 2002 - November 15, 2004
AMERICAN GENERAL SECURITIES INCORPORATED
June 1, 1999 - December 19, 2001
NYLIFE SECURITIES LLC
October 5, 1992 - June 26, 1998
IDS LIFE INSURANCE COMPANY
October 5, 1992 - June 26, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/21/2025)
(5/29/2025)
Exams
What does exam status mean?
Series 7TO
Passed: 5/3/2023
General Securities Representative ExaminationSeries 6TO
Passed: 12/1/2022
Investment Company Products/Variable Contracts Representative ExaminationSeries 6
Passed: 6/30/2008
FINRA
Current Firm
INTEGRITY CAPITAL, LLC
CRD#: 285198 / SEC#: , 8-69829
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTEGRITY WEALTH, LLC | MEMBER | |
| BAKER, ANDREA K | PRINCIPAL FINANCIAL OFFICER | 5533991 |
| BAKER, ANDREA K | FINOP | 5533991 |
| BAKER, ANDREA K | CHIEF FINANCIAL OFFICER | 5533991 |
| BAKER, ANDREA K | PRINCIPAL OPERATIONS OFFICER | 5533991 |
| DENHAM, ERIC TODD | PRESIDENT | 1812039 |
| PATTERSON, GINNIE SUZANNE | CHIEF COMPLIANCE OFFICER | 6329958 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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