SS
Steven A. Swanson
VANGUARD MARKETING
Scottsdale, AZ 85260
Some features on this profile are disabled
CRD#: 2748327
SS
Professional summary
Steven Andrew Swanson, who also goes by Steven A Swanson, Steven Swanson, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Scottsdale, Arizona.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1996. Steven has worked at 9 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Steven A Swanson | Steven Swanson
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) KJ & SS MARKETING, LLC: SCOTTSDALE, AZ, 1/2015, DBA FOR FINANCIAL PLANNING TO COVER ALL EXPENSES FOR THE OFFICE, FIXED INSURANCE SALES, WILL NOT BE HELD OUT TO CLIENTS IN ANY CAPACITY. MEMBER/OSJ MANAGER/OFFICE MANAGER. 2) THE LAW OFFICES OF KERRI S JAMISON PLLC: 3/2022, SCOTTSDALE, AZ, ESTATE PLANNING SERVICES PROVIDED BY KERRI JAMISON; DUTIES: ADMINISTRATIVE, SCHEDULE APPOINTMENTS AND FOLLOW UP ON INFORMATION REQUEST, NOT INVESTMENT RELATED, TIME SPENT ON THIS ACTIVITY DURING REGULAR BUSINESS HOURS IS 5%.
CRS (Client Relationship Summary) - BD
Click below to view Steven Andrew Swanson'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 30, 2025 - Present
VANGUARD MARKETING CORPORATION
Office #1: 14321 North Northsight Blvd., Scottsdale, AZ 85260BD
CRD#: 7452
Scottsdale, AZ
Past
December 22, 2010 - January 17, 2025
NFSG CORPORATION
RIA
CRD#: 130814
MESA, AZ
Past
November 5, 2010 - January 17, 2025
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
MESA, AZ
Past
November 8, 2007 - October 22, 2010
COMMERCE WEALTH ADVISERS, LLC
RIA
CRD#: 144449
CLIVE, IA
Past
June 19, 2007 - October 22, 2010
DEWAAY FINANCIAL NETWORK, LLC
BD
CRD#: 30767
SCOTTSDALE, AZ
Past
May 18, 2006 - June 15, 2007
ASSOCIATED SECURITIES CORP.
RIA
CRD#: 12969
SCOTTSDALE, AZ
Past
May 18, 2006 - June 21, 2007
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
RIA
CRD#: 104790
SCOTTSDALE, AZ
Past
September 5, 2002 - June 15, 2007
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
SCOTTSDALE, AZ
Past
April 5, 2001 - August 29, 2002
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
November 24, 1998 - November 17, 1999
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
April 23, 1997 - May 22, 1998
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
January 17, 1997 - March 12, 1998
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
June 11, 1996 - December 10, 1996
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(6/5/2025)
RR
Alaska(6/6/2025)
RR
Arizona(6/4/2025)
RR
Arkansas(6/12/2025)
RR
California(6/4/2025)
RR
Colorado(6/6/2025)
RR
Connecticut(6/6/2025)
RR
Delaware(6/9/2025)
RR
District of Columbia(6/5/2025)
RR
Florida(6/5/2025)
RR
Georgia(6/5/2025)
RR
Hawaii(8/25/2025)
RR
Idaho(6/10/2025)
RR
Illinois(6/17/2025)
RR
Indiana(6/12/2025)
RR
Iowa(6/5/2025)
RR
Kansas(6/6/2025)
RR
Kentucky(6/12/2025)
RR
Louisiana(6/5/2025)
RR
Maine(6/6/2025)
RR
Maryland(6/12/2025)
RR
Massachusetts(6/5/2025)
RR
Michigan(6/6/2025)
RR
Minnesota(6/9/2025)
RR
Mississippi(6/12/2025)
RR
Missouri(6/4/2025)
RR
Montana(6/12/2025)
RR
Nebraska(6/4/2025)
RR
Nevada(6/8/2025)
RR
New Hampshire(6/9/2025)
RR
New Jersey(6/5/2025)
RR
New Mexico(6/5/2025)
RR
New York(6/8/2025)
RR
North Carolina(6/12/2025)
RR
North Dakota(6/9/2025)
RR
Ohio(6/16/2025)
RR
Oklahoma(6/5/2025)
RR
Oregon(6/10/2025)
RR
Pennsylvania(6/6/2025)
RR
Puerto Rico(6/16/2025)
RR
Rhode Island(6/5/2025)
RR
South Carolina(6/12/2025)
RR
South Dakota(6/16/2025)
RR
Tennessee(6/5/2025)
RR
Texas(6/5/2025)
RR
Utah(6/5/2025)
RR
Vermont(6/9/2025)
RR
Virgin Islands(6/9/2025)
RR
Virginia(6/9/2025)
RR
Washington(6/10/2025)
RR
West Virginia(6/12/2025)
RR
Wisconsin(6/11/2025)
RR
Wyoming(6/4/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VM
VANGUARD MARKETING CORPORATION
VANGUARD BROKERAGE SERVICES | VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
100 Vanguard Blvd, Malvern, PA 19355
Mailing Address
5951 Luckett Court Suite A1, El Paso, TX 79932-1882
Phone number
(610) 669-1000
Established
Pennsylvania since 04/21/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
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.
