Erik Andrew Swanson
Professional Summary
Erik Andrew Swanson is a registered financial advisor currently at COMMERCE BROKERAGE SERVICES, INC. located in St Louis, Missouri and L.J. HART AND COMPANY located in St. Louis, Missouri. Erik is registered as a RR (Registered Representative) and started their career in finance in 2000. Erik has worked at 6 firms and has passed the Series 63, Series 65, Series 99TO, Series 52, Series 55, Series 7, Series 24 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
L.J. HART AND COMPANY
Contact Information
Main Address
8000 Forsyth Blvd, St. Louis, MO 63105Mailing Address
8000 Forsyth Blvd Clhart, St. Louis, MO 63105Phone Number
(636) 537-9939Established
Missouri since 11/12/1991Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (8 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERCE BANK | SOLE STOCKHOLDER | — |
| HARMON, THOMAS DARIN | CHAIRMAN | 7787415 |
| PISARKIEWICZ, THOMAS JOHN | PRESIDENT/CEO/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/TREASURER | 5173363 |
| REECE, JOSEPH STEVEN | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 2227282 |
| ROWE, MARGARET MCSHANE | CORPORATE SECRETARY / GENERAL COUNSEL | 7576973 |
| SWANSON, ERIK ANDREW | EXECUTIVE VICE PRESIDENT | 4170204 |
Disclosures
Regulatory Event
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(12/5/2019)
(11/19/2019)
(2/8/2023)
(12/10/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Feb 2001SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Erik Andrew Swanson's CRS (Customer Relationship Summary).
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