SS
Steven P. Swensen
GREAT LAKES ADVISORS
Chicago, IL 60604
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CRD#: 2951587
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Professional summary
Steven Paul Swensen, CIMA® is a registered financial advisor currently at GREAT LAKES ADVISORS, LLC located in Chicago, Illinois.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Steven has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Every Magic Seed Holdings; Investment related No; Bountiful, UT; Holding company; Partner (proprietor, partner, officer, director, employee, trustee, agent); September 2020; During business hours: 0; After business hours: 4; Administrative, Business Development/Growth Blue Spruce Properties; Investment related Yes; Bountiful, UT; Real Estate; Partner (proprietor, partner, officer, director, employee, trustee, agent); September 2020; During business hours: 0; After business hours: 4; Administrative, Property Management. Great Lakes Advisors, LLC located at 231 S. LaSalle St 4th Floor Chicago, IL 60604. Investment-related, affiliated investment advisor. Position is a portfolio manager role with approximately 160 hours of which 160 hours per month is during securities trading hours. Responsibilities include client service and portfolio management. Start date of position is 08/14/2023. WTI Compliance has reviewed the outside employment and has determined that activity: 1) Does not interfere or compromise employee's responsibilities to WTI and 2.) Not be viewed by the public as part of WTI's business.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Paul Swensen'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®
Experience
Current
September 6, 2023 - Present
GREAT LAKES ADVISORS, LLC
Office #1: 231 S. Lasalle Street 4th Floor, Chicago, IL 60604RIA
CRD#: 110757
Chicago, IL
Past
August 25, 2023 - July 31, 2025
WINTRUST INVESTMENTS LLC
BD
CRD#: 875
CHICAGO, IL
Past
June 5, 2017 - May 18, 2022
MORGAN STANLEY
RIA
CRD#: 149777
Salt Lake City, UT
Past
May 15, 2017 - May 18, 2022
MORGAN STANLEY
BD
CRD#: 149777
Salt Lake City, UT
Past
April 25, 2003 - February 12, 2004
JANUS HENDERSON DISTRIBUTORS US LLC
BD
CRD#: 28832
DENVER, CO
Past
February 21, 2001 - October 30, 2002
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
November 14, 1997 - February 21, 2001
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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".
GREAT LAKES ADVISORS, LLC
FOCUSED ADVISORS | WINTRUST WEALTH MANAGEMENT | WINTRUST PRIVATE CLIENT | WINTRUST CAPITAL MANAGEMENT, LLC | WAYNE HUMMER PREMIER ADVISORS | WAYNE HUMMER MANAGEMENT CO | WAYNE HUMMER INVESTMENT MANAGEMENT SERVICES | WAYNE HUMMER ASSET MANAGEMENT COMPANY, L.L.C. | WAYNE HUMMER ASSET MANAGEMENT COMPANY | LAKE FOREST CAPITAL MANAGEMENT COMPANY | GREAT LAKES ADVISORS, LLC | GREAT LAKES ADVISORS, INC. | GREAT LAKES ADVISORS HOLDINGS, LLC
CRD#: 110757 / SEC#: 801-16937
RIA
Registered Investment Advisory firm - (3/24/1982 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.Highlighted states indicate IAR registrations
IAR
Illinois(9/6/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
GREAT LAKES ADVISORS, LLC
FOCUSED ADVISORS | WINTRUST WEALTH MANAGEMENT | WINTRUST PRIVATE CLIENT | WINTRUST CAPITAL MANAGEMENT, LLC | WAYNE HUMMER PREMIER ADVISORS | WAYNE HUMMER MANAGEMENT CO | WAYNE HUMMER INVESTMENT MANAGEMENT SERVICES | WAYNE HUMMER ASSET MANAGEMENT COMPANY, L.L.C. | WAYNE HUMMER ASSET MANAGEMENT COMPANY | LAKE FOREST CAPITAL MANAGEMENT COMPANY | GREAT LAKES ADVISORS, LLC | GREAT LAKES ADVISORS, INC. | GREAT LAKES ADVISORS HOLDINGS, LLC
CRD#: 110757 / SEC#: 801-16937
RIA
Registered Investment Advisory firm - (3/24/1982 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
231 S. Lasalle Street 4th Floor, Chicago, IL 60604
Mailing Address
Po Box 750, Chicago, IL 60606-0750
Phone number
(312) 431-1700
Established
Firm type
Fiscal year end
# of Employees
86
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,771 |
| AUM (Assets Under Management) | $ 15,298,949,943 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 09/27/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
