Christopher Robert Dewlen | Financial Professional | San Antonio, Texas

Professional summary

Christopher Robert Dewlen, who also goes by Chris Dewlen, is a registered financial advisor currently at SWBC INVESTMENT COMPANY located in San Antonio, Texas and SWBC INVESTMENT SERVICES, LLC located in San Antonio, Texas.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Christopher has worked at 9 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris Dewlen

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Robert Dewlen'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

September 9, 2025 - Present

SWBC INVESTMENT COMPANY

Office #1: 9311 San Pedro Avenue Suite 600, San Antonio, TX 78216-4459

RIA

CRD#: 140994

San Antonio, TX

Current

September 9, 2025 - Present

SWBC INVESTMENT SERVICES, LLC

Office #1: 9311 San Pedro, Ste 600, San Antonio, TX 78216

BD

CRD#: 133715

San Antonio, TX

Past

June 5, 2025 - September 8, 2025

CINCAP INVESTMENT GROUP, LLC

BD

CRD#: 118392

CINCINNATI, OH

Past

October 25, 2004 - April 4, 2025

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

BOERNE, TX

Past

November 18, 2003 - April 4, 2025

ADVISORS ASSET MANAGEMENT, INC.

BD

CRD#: 46727

BOERNE, TX

Past

October 26, 2000 - September 25, 2003

PAN-AMERICAN FINANCIAL ADVISERS

BD

CRD#: 15578

NEW ORLEANS, LA

Past

October 5, 1998 - October 25, 2000

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD

CRD#: 6694

ST. PETERSBURG, FL

Past

August 8, 1997 - July 2, 1998

LEGG MASON WOOD WALKER, INCORPORATED

BD

CRD#: 6555

BALTIMORE, MD

Past

May 16, 1995 - July 28, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD

CRD#: 7471

NEW YORK, NY

Past

April 20, 1994 - June 29, 1994

DICKINSON & CO.

BD

CRD#: 689

DES MOINES, IA

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".

SI

SWBC INVESTMENT COMPANY

CRD#: 140994 / SEC#: 801-68054

RIA

Registered Investment Advisory firm - (6/25/2007 Approved)

Florida

Registered Investment Advisory firm - (12/26/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2007 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.

RR

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

RR

Texas
(9/9/2025)

IAR

Texas
(9/9/2025)

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 65

Date: 8/15/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 4/21/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 4/19/1994

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 1/14/1999

General Securities Principal Examination

SRO Registrations

RR

FINRA

Current Firm

SI

SWBC INVESTMENT COMPANY

CRD#: 140994 / SEC#: 801-68054

RIA

Registered Investment Advisory firm - (6/25/2007 Approved)

Florida

Registered Investment Advisory firm - (12/26/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2007 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).

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Contact information

Main Address

9311 San Pedro Avenue Suite 600, San Antonio, TX 78216-4459

Mailing Address

Phone number

(210) 376-3279

Established

Firm type

Fiscal year end

# of Employees

28

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SWBC INVESTMENT COMPANY WRAP PROGRAM (3/31/2025)

SWBC INVESTMENT COMPANY ADV SCHEDULE A PART 2 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	406
AUM (Assets Under Management)	$ 229,193,705

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

Christopher R. Dewlen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Robert Dewlen's CRS (Customer Relationship Summary).

Certified licenses

Experience

SWBC INVESTMENT SERVICES, LLC

CINCAP INVESTMENT GROUP, LLC

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

PAN-AMERICAN FINANCIAL ADVISERS

RAYMOND JAMES FINANCIAL SERVICES, INC.

LEGG MASON WOOD WALKER, INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

DICKINSON & CO.

Primary Firm SEC Registration

SWBC INVESTMENT COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 8/15/1997

Series 63

Date: 4/21/1994

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/19/1994

Series 24

Date: 1/14/1999

FINRA

Current Firm

SWBC INVESTMENT COMPANY

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SWBC INVESTMENT COMPANY

TRUST BUT VERIFY

Contact information

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