KS
Kathryn K. Swain
LPL ENTERPRISE
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 2591079
KS
Professional summary
Kathryn Kristen Swain, who also goes by Chris Swain, Christopher Swain, Robert Christopher Swain, Robert Christopher Christopher Swain, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in New York, New York.
Kathryn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Kathryn has worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Swain | Christopher Swain | Robert Christopher Swain | Robert Christopher Christopher Swain
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. 05/14/2025 - Nectar - Business Owner - New York. NY - INV REL - Start Date 12/21/2021 - 10hrs/MTH 2. 05/14/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - New York. NY - INV REL - Start Date 02/05/2025 - 160hrs/mth 3. 05/14/2025 - NA- Non variable insurance - Non-Variable Insurance/Insurance Agency - New York. NY - INV REL - Start Date 02/05/2025 - 160hrs/mth
CRS (Client Relationship Summary) - RIA
Click below to view Kathryn Kristen Swain's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kathryn Kristen Swain's 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®
NoneExperience
Current
June 25, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 1270 Avenue Of The Americas Ste 1000, New York, NY 10020RIA
BD
CRD#: 8733
NEW YORK, NY
Current
May 29, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 1270 Avenue Of The Americas Ste 1000, New York, NY 10020RIA
BD
CRD#: 8733
NEW YORK, NY
Past
December 1, 2021 - May 5, 2023
LGBTQINVEST, LLC
RIA
CRD#: 317159
LOS ANGELES, CA
Past
April 13, 2010 - July 22, 2020
CHURCHILL MANAGEMENT GROUP
RIA
CRD#: 109651
Emeryville, CA
Past
September 10, 2008 - May 15, 2009
ADVANCED EQUITIES, INC.
BD
CRD#: 35545
SAN FRANCISCO, CA
Past
February 26, 2007 - August 18, 2008
FEDERATED SECURITIES CORP.
BD
CRD#: 5009
PITTSBURGH, PA
Past
February 13, 2007 - August 18, 2008
FEDERATED INVESTMENT COUNSELING
RIA
CRD#: 105325
PITTSBURGH, PA
Past
June 3, 2005 - January 9, 2006
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
SAN FRANCISCO, CA
Past
June 25, 1997 - January 9, 2006
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
June 21, 1996 - June 11, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
May 3, 1995 - April 23, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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
New York(6/25/2025)
IAR
New York(6/25/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/29/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 10/20/1998
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
