Chad A. Swanson

Some features on this profile are disabled

CRD#: 3180139

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.

Chad Alexander Swanson was a registered financial professional .

Chad is a previously registered financial professional and started their career in finance in 1999. Chad had worked at 10 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

CHAD ALEXANDER SWANSON IS THE MANAGING MEMBER OF GRAIL INVESTMENTS, L.L.C., AN EXEMPT REPORTING ADVISOR UNDER SEC GUIDELINES. GRAIL INVESTMENTS IS THE GENERAL PARTNER OF QUESTUS FUND.

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

November 1, 2018 - August 17, 2023

KINGSVIEW WEALTH MANAGEMENT, LLC

RIA

CRD#: 148107

GRANTS PASS, OR

Past

May 11, 2017 - November 1, 2018

SKYOAK CAPITAL, INC.

RIA

CRD#: 154248

Grants Pass, OR

Past

July 15, 2011 - August 4, 2017

STRATEGIC FINANCIAL MANAGEMENT, INC.

RIA

CRD#: 148076

GRANTS PASS, OR

Past

June 1, 2009 - July 25, 2011

MORGAN STANLEY

RIA

CRD#: 149777

BEND, OR

Past

June 1, 2009 - July 25, 2011

MORGAN STANLEY

CRD#: 149777

BEND, OR

Past

February 26, 2009 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

BEND, OR

Past

February 26, 2009 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

BEND, OR

Past

January 30, 2008 - November 14, 2008

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

BEND, OR

Past

August 26, 2005 - September 5, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BEND, OR

Past

June 6, 2005 - August 30, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

BEND, OR

Past

September 26, 2003 - August 30, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

February 7, 2003 - August 5, 2003

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

May 3, 1999 - November 13, 2001

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

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".

KINGSVIEW WEALTH MANAGEMENT, LLC

CRD#: 148107 / SEC#: 801-79198

RIA

Registered Investment Advisory firm - (2/24/2014 Approved)

Arkansas

Registered Investment Advisory firm - (2/26/2014 Terminated)

Florida

Registered Investment Advisory firm - (2/26/2014 Terminated)

Illinois

Registered Investment Advisory firm - (2/26/2014 Terminated)

Iowa

Registered Investment Advisory firm - (2/26/2014 Terminated)

Minnesota

Registered Investment Advisory firm - (2/26/2014 Terminated)

New York

Registered Investment Advisory firm - (11/8/2013 Cancelled)

North Dakota

Registered Investment Advisory firm - (2/26/2014 Terminated)

Oregon

Registered Investment Advisory firm - (2/26/2014 Terminated)

South Dakota

Registered Investment Advisory firm - (2/26/2014 Terminated)

Texas

Registered Investment Advisory firm - (2/26/2014 Terminated)

Virginia

Registered Investment Advisory firm - (2/26/2014 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: 5/28/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/5/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 7/1/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/9/1999

General Securities Representative Examination

Current Firm

KINGSVIEW WEALTH MANAGEMENT, LLC

CRD#: 148107 / SEC#: 801-79198

RIA

Registered Investment Advisory firm - (2/24/2014 Approved)

Arkansas

Registered Investment Advisory firm - (2/26/2014 Terminated)

Florida

Registered Investment Advisory firm - (2/26/2014 Terminated)

Illinois

Registered Investment Advisory firm - (2/26/2014 Terminated)

Iowa

Registered Investment Advisory firm - (2/26/2014 Terminated)

Minnesota

Registered Investment Advisory firm - (2/26/2014 Terminated)

New York

Registered Investment Advisory firm - (11/8/2013 Cancelled)

North Dakota

Registered Investment Advisory firm - (2/26/2014 Terminated)

Oregon

Registered Investment Advisory firm - (2/26/2014 Terminated)

South Dakota

Registered Investment Advisory firm - (2/26/2014 Terminated)

Texas

Registered Investment Advisory firm - (2/26/2014 Terminated)

Virginia

Registered Investment Advisory firm - (2/26/2014 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

509 Se 7th Street 2nd Floor, Grants Pass, OR 97526

Mailing Address

Phone number

(312) 870-6701

Established

Firm type

Fiscal year end

# of Employees

225

SEC notice filing (47 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KINGSVIEW 2A (2/28/2025)

Regulatory assets under management

Total Number of Accounts	24,847
AUM (Assets Under Management)	$ 6,745,495,357

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Chad A. Swanson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SKYOAK CAPITAL, INC.

STRATEGIC FINANCIAL MANAGEMENT, INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

KMS FINANCIAL SERVICES, INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

LPL FINANCIAL LLC

CETERA WEALTH SERVICES, LLC

Primary Firm SEC Registration

KINGSVIEW WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/28/2005

Series 63

Date: 4/5/1999

Series 31

Date: 7/1/2005

Series 7

Date: 4/9/1999

Current Firm

KINGSVIEW WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (47 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KINGSVIEW WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors