CS
Curtis W. Swenson
KESTRA ADVISORY SERVICES
Minnetonka, MN 55343
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CRD#: 2692102
CS
Professional summary
Curtis Wayne Swenson, who also goes by Curt Swenson, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Minnetonka, Minnesota and KESTRA INVESTMENT SERVICES, LLC located in Minnetonka, Minnesota.
Curtis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Curtis has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Curt Swenson
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)INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES.. 2)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. NESBIT FINANCIAL POSITION: President of Wealth Management NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 04/01/2022 ADDRESS: 5300 Rowland Road, Minnetonka MN 55343, United States DESCRIPTION: Managing and coordinating client's insurance, investment, financial and retirement goals KESTRA ADVISORY SERVICES POSITION: Registered Representative NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 04/01/2022 ADDRESS: 5707 Southwest Parkway Building 2 Ste. 400, Austin TX 78735, United States DESCRIPTION: Asset Allocation, manager and fund selection for client accounts. CRUMP LIFE INSURANCE POSITION: Agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 04/01/2022 ADDRESS: 5900 Rowland Rd, Minnetonka MN 55343, United States DESCRIPTION: Review and advise clients on their life insurance needs
CRS (Client Relationship Summary) - RIA
Click below to view Curtis Wayne Swenson'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
May 16, 2022 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 5900 Rowland Rd, Minnetonka, MN 55343RIA
CRD#: 283330
Minnetonka, MN
Current
May 16, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5900 Rowland Rd, Minnetonka, MN 55343BD
CRD#: 42046
Minnetonka, MN
Past
January 16, 2014 - May 24, 2022
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Excelsior, MN
Past
June 1, 2010 - May 24, 2022
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Excelsior, MN
Past
April 24, 1996 - June 1, 2010
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EDINA, MN
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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
Arizona(5/16/2022)
RR
California(5/16/2022)
RR
Colorado(5/16/2022)
RR
Connecticut(10/1/2024)
RR
Florida(5/16/2022)
RR
Idaho(2/14/2023)
RR
Minnesota(5/26/2022)
IAR
Minnesota(5/31/2022)
RR
New Mexico(5/16/2022)
RR
North Carolina(1/27/2025)
RR
North Dakota(9/17/2025)
RR
South Dakota(5/16/2022)
RR
Texas(5/16/2022)
IAR
Texas(5/16/2022)
RR
Utah(5/12/2023)
RR
Virginia(5/29/2024)
RR
Washington(5/16/2022)
RR
Wisconsin(5/16/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
