DS
David L. Swanson
HIGHPOINT PLANNING PARTNERS
Tallahassee, FL
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CRD#: 4110131
DS
Professional summary
David Lee Swanson is a registered financial advisor currently at HIGHPOINT PLANNING PARTNERS located in Tallahassee, Florida and LPL FINANCIAL LLC located in Naperville, Illinois.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. David has worked at 7 firms and has passed the Series 66, 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.
1. 7/29/2014 - HIGHPOINT ADVISOR GROUP, LLC - DBA: (HYBRID) HIGHPOINT PLANNING PARTNERS - Investment Related - At Reported Business Location(s) - REGISTERED INVESTMENT ADVISOR DBA. 2. 7/29/2014 - HIGHPOINT ADVISOR GROUP , LLC - Investment Related - At Reported Business Location(s) - REGISTERED INVESTMENT ADVISOR HYBRID - Started 07/15/2014 - 80 Hours Per Month/40 Hours During Securities Trading. 3. 7/29/2014 - Highpoint Advisor Group, LLC - DBA: Roudhill Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA. 4. 6/22/2016 - NO BUSINESS NAME - Not Investment Related - At Reported Business Location(s) - Other-Notary public - Started 10/28/13 - 1 Hour Per Month During Securities Trading - Notary public.
CRS (Client Relationship Summary) - RIA
Click below to view David Lee 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
November 18, 2021 - Present
HIGHPOINT PLANNING PARTNERS
Office #2: 280 Shuman Blvd Suite 140, Naperville, IL 60563RIA
CRD#: 316636
Tallahassee, FL
Current
July 26, 2013 - Present
LPL FINANCIAL LLC
Office #1: 280 Shuman Blvd, Suite 140, Naperville, IL 60563RIA
BD
CRD#: 6413
NAPERVILLE, IL
Past
August 13, 2013 - December 31, 2021
HIGHPOINT PLANNING PARTNERS
RIA
CRD#: 163768
NAPERVILLE, IL
Past
December 7, 2007 - August 2, 2013
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
ORLAND PARK, IL
Past
December 7, 2007 - August 2, 2013
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
ORLAND PARK, IL
Past
April 11, 2002 - December 11, 2007
LASALLE FINANCIAL SERVICES, INC.
RIA
CRD#: 20373
NAPERVILLE, IL
Past
April 11, 2002 - December 11, 2007
LASALLE FINANCIAL SERVICES, INC.
BD
CRD#: 20373
NAPERVILLE, IL
Past
December 7, 2001 - January 15, 2002
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
March 8, 2000 - August 20, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
HP
HIGHPOINT PLANNING PARTNERS
ASPIRE DIVORCE SOLUTIONS, LLC | VERTEX PLANNING PARTNERS, LLC | VANTAGE FINANCIAL | VANDERVOORN & ASSOC | TWG WEALTH PLANNING | TWG BENEFITS | TOMORROW'S WEALTH PLANNING | THE ASSOCIATES GROUP | STONEBRIDGE WEALTH ADVISORS | SHAMROCK FINANCIAL PLANNING | SANSONE & ASSOCIATES, P.C. | SAFE HARBOR RETIREMENT CONSULTANTS, LLC | SA PIGGUSH BUSINESS & RETIREMENT PLANNING | RSM FINANCIAL SOLUTIONS | ROUND HILL WEALTH MANAGEMENT | ROGER J. ENSMINGER & ASSOCIATES | R. KNAPP FINANCIAL INC | PROFESSIONAL WEALTH ADVISORS LLC | PARTNERS ADVISORS LTD. | ONPATH FINANCIAL, LLC | MIKE LYNCH, INC. | MIDWEST FAMILY WEALTH MANAGEMENT | MCCABE FINANCIAL GROUP | LPL FINANCIAL | LLOYD WEALTH ADVISORS | KENNEDY FINANCIAL GROUP | KELLER PETERSON WEALTH ADVISORS, LLC | KEITH E. MURPHY | J. KAHN & ASSOCIATES LLC | INTRINSIC WEALTH MANAGEMENT | INDIGO WEALTH ADVISORS | HIGHPOINT PLANNING PARTNERS | HIGHPOINT ADVISOR GROUP, LLC | HIGHPOINT ADVISOR GROUP | G/R WEALTH MANAGEMENT GROUP LLC | FRICK INVESTMENT GROUP | FINANCIAL PLANNING FOR GENERATION X | EQUILIBRIUM WEALTH MANAGEMENT | ELEVATION WEALTH MANAGEMENT | EINSPAR FAMILY FINANCIAL | EBERLIN FINANCIAL SERVICES | DOAK FINANCIAL, LLC | CORE WEALTH PLANNING | CHASE ENTERPRISES FINANCIAL | CB3 FINANCIAL GROUP INC. | BLACK DIAMOND PLANNERS | BENEFIT PARTNERS FINANCIAL GROUP | ASPIRE PLANNING GROUP LLC
CRD#: 316636 / SEC#: 801-122583
RIA
Registered Investment Advisory firm - (10/29/2021 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
Alabama(7/28/2020)
RR
Arizona(7/26/2013)
RR
California(6/20/2017)
RR
Colorado(3/24/2014)
RR
District of Columbia(9/25/2017)
RR
Florida(7/26/2013)
IAR
Florida(2/21/2023)
RR
Georgia(12/12/2023)
RR
Illinois(7/26/2013)
IAR
Illinois(11/18/2021)
RR
Indiana(11/8/2021)
RR
Iowa(1/2/2018)
RR
Michigan(7/26/2013)
RR
Missouri(5/10/2016)
RR
New Mexico(9/8/2020)
RR
New York(9/14/2018)
RR
North Carolina(11/27/2019)
RR
Ohio(7/14/2019)
RR
South Carolina(2/14/2018)
RR
Tennessee(7/3/2025)
RR
Texas(7/26/2013)
RR
Virginia(4/15/2014)
RR
Wisconsin(7/26/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HP
HIGHPOINT PLANNING PARTNERS
ASPIRE DIVORCE SOLUTIONS, LLC | VERTEX PLANNING PARTNERS, LLC | VANTAGE FINANCIAL | VANDERVOORN & ASSOC | TWG WEALTH PLANNING | TWG BENEFITS | TOMORROW'S WEALTH PLANNING | THE ASSOCIATES GROUP | STONEBRIDGE WEALTH ADVISORS | SHAMROCK FINANCIAL PLANNING | SANSONE & ASSOCIATES, P.C. | SAFE HARBOR RETIREMENT CONSULTANTS, LLC | SA PIGGUSH BUSINESS & RETIREMENT PLANNING | RSM FINANCIAL SOLUTIONS | ROUND HILL WEALTH MANAGEMENT | ROGER J. ENSMINGER & ASSOCIATES | R. KNAPP FINANCIAL INC | PROFESSIONAL WEALTH ADVISORS LLC | PARTNERS ADVISORS LTD. | ONPATH FINANCIAL, LLC | MIKE LYNCH, INC. | MIDWEST FAMILY WEALTH MANAGEMENT | MCCABE FINANCIAL GROUP | LPL FINANCIAL | LLOYD WEALTH ADVISORS | KENNEDY FINANCIAL GROUP | KELLER PETERSON WEALTH ADVISORS, LLC | KEITH E. MURPHY | J. KAHN & ASSOCIATES LLC | INTRINSIC WEALTH MANAGEMENT | INDIGO WEALTH ADVISORS | HIGHPOINT PLANNING PARTNERS | HIGHPOINT ADVISOR GROUP, LLC | HIGHPOINT ADVISOR GROUP | G/R WEALTH MANAGEMENT GROUP LLC | FRICK INVESTMENT GROUP | FINANCIAL PLANNING FOR GENERATION X | EQUILIBRIUM WEALTH MANAGEMENT | ELEVATION WEALTH MANAGEMENT | EINSPAR FAMILY FINANCIAL | EBERLIN FINANCIAL SERVICES | DOAK FINANCIAL, LLC | CORE WEALTH PLANNING | CHASE ENTERPRISES FINANCIAL | CB3 FINANCIAL GROUP INC. | BLACK DIAMOND PLANNERS | BENEFIT PARTNERS FINANCIAL GROUP | ASPIRE PLANNING GROUP LLC
CRD#: 316636 / SEC#: 801-122583
RIA
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Contact information
Main Address
2651 Warrenville Road Suite 200, Downers Grove, IL 60515
Mailing Address
Phone number
(630) 719-9222
Established
Firm type
Fiscal year end
# of Employees
104
SEC notice filing (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,813 |
| AUM (Assets Under Management) | $ 3,999,000,000 |
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.
