Stephen R. Swensen

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CRD#: 2885578

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Stephen Romney Swensen, who also goes by Stephen R Swensen, Stephen R Swenson, was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1997. Stephen had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stephen R Swensen | Stephen R 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)NAVIGATION CAPITAL GROUP, INC. ; NON INVESTMENT RELATED, CREATED FOR TAX PURPOSES ONLY, START DATE 06/1996 2)FOUR BUCKETS (FORMERLY LAST ADVISOR), NON INVESTMENT RELATED, 06/2019, a retirement and planning software service available for investment advisors. 3)THE SWENSEN GROUP, NON INVESTMENT RELATED, ENTITY USED FOR TAX PURPOSES

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 26, 2018 - June 8, 2022

OAK LANE ADVISORS

RIA

CRD#: 140612

CENTERVILLE, UT

Past

May 9, 2018 - July 2, 2018

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

CLEARFIELD, UT

Past

May 8, 2018 - July 2, 2018

J.W. COLE FINANCIAL, INC.

CRD#: 124583

CLEARFIELD, UT

Past

February 9, 2017 - May 8, 2018

ALLEGIS INVESTMENT ADVISORS, LLC

RIA

CRD#: 157314

Clearfield, UT

Past

July 1, 2014 - May 8, 2018

ALLEGIS INVESTMENT SERVICES, LLC

CRD#: 168557

Clearfield, UT

Past

March 22, 2010 - July 2, 2014

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

CLEARFIELD, UT

Past

March 9, 2005 - March 31, 2010

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

CLEARFIELD, UT

Past

July 22, 2003 - March 16, 2005

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

November 13, 2002 - July 16, 2003

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

February 25, 2002 - September 17, 2002

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

January 10, 2000 - December 20, 2000

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

January 29, 1998 - December 31, 1999

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

July 29, 1997 - August 7, 1997

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

Past

July 29, 1997 - February 2, 2000

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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".

OAK LANE ADVISORS

CRD#: 140612 / SEC#: 801-116880

RIA

Registered Investment Advisory firm - (6/28/2019 Approved)

Colorado

Registered Investment Advisory firm - (4/4/2018 Terminated)

Idaho

Registered Investment Advisory firm - (7/3/2019 Terminated)

Utah

Registered Investment Advisory firm - (7/5/2019 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/12/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/19/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/2/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/4/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

OAK LANE ADVISORS

CRD#: 140612 / SEC#: 801-116880

RIA

Registered Investment Advisory firm - (6/28/2019 Approved)

Colorado

Registered Investment Advisory firm - (4/4/2018 Terminated)

Idaho

Registered Investment Advisory firm - (7/3/2019 Terminated)

Utah

Registered Investment Advisory firm - (7/5/2019 Terminated)

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Contact information

Main Address

1222 W. Legacy Crossing Blvd Suite 6, Centerville, UT 84014

Mailing Address

Phone number

(801) 335-8200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE (8/21/2025)

Regulatory assets under management

Total Number of Accounts	2,258
AUM (Assets Under Management)	$ 367,281,893

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

Stephen R. Swensen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

ALLEGIS INVESTMENT ADVISORS, LLC

ALLEGIS INVESTMENT SERVICES, LLC

SUMMIT BROKERAGE SERVICES, INC.

COMMONWEALTH FINANCIAL NETWORK

SECURIAN FINANCIAL SERVICES, INC.

PARK AVENUE SECURITIES LLC

SECURIAN FINANCIAL SERVICES, INC.

PARK AVENUE SECURITIES LLC

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

OAK LANE ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 10/12/2016

Series 63

Date: 6/19/1997

SIE

Date: 7/2/2018

Series 6

Date: 6/4/1997

Current Firm

OAK LANE ADVISORS

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OAK LANE ADVISORS

TRUST BUT VERIFY

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