Peter J. Swanson

SPEECE THORSON CAPITAL GROUP

Minnetonka, MN 55305-5231

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CRD#: 4208484

Professional summary

Peter James Swanson is a registered financial advisor currently at SPEECE THORSON CAPITAL GROUP INC located in Minnetonka, Minnesota.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Peter has worked at 2 firms and has passed the Series 63, Series 87 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.

Trustee - Converge Worldwide Retirement Plan - investment related 2 hours/quarter Address: n/a Converge is HQ in Chicago. Trustee meetings are in Minneapolis in Co-Trustee offices 07-2010 to 07/2015 (5 yr term) 07/2017 to present (5 yr term) Duties: All investment related decisions for the fund: strategy, asset allocation, manager selection

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter James Swanson's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 24, 2017 - Present

SPEECE THORSON CAPITAL GROUP INC

Office #1: 601 Carlson Parkway Suite 850, Minnetonka, MN 55305-5231

RIA

CRD#: 106052

Minnetonka, MN

Past

October 9, 2000 - June 9, 2005

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

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".

SPEECE THORSON CAPITAL GROUP INC

SPEECE THORSON CAPITAL GROUP INC | ST CAPITAL

CRD#: 106052 / SEC#: 801-39816

RIA

Registered Investment Advisory firm - (4/8/1992 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

Minnesota
(8/24/2017)

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

Series 63

Date: 10/20/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 87

Date: 11/3/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 10/6/2000

General Securities Representative Examination

Current Firm

SPEECE THORSON CAPITAL GROUP INC

SPEECE THORSON CAPITAL GROUP INC | ST CAPITAL

CRD#: 106052 / SEC#: 801-39816

RIA

Registered Investment Advisory firm - (4/8/1992 Approved)

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Contact information

Main Address

601 Carlson Parkway Suite 850, Minnetonka, MN 55305-5231

Mailing Address

Phone number

(612) 338-4649

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 JANUARY 30, 2025 (2/5/2025)

Regulatory assets under management

Total Number of Accounts	40
AUM (Assets Under Management)	$ 522,000,000

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.

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Peter J. Swanson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter James Swanson's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPEECE THORSON CAPITAL GROUP INC

PIPER SANDLER & CO.

Primary Firm SEC Registration

SPEECE THORSON CAPITAL GROUP INC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/20/2000

Series 87

Date: 11/3/2004

Series 7

Date: 10/6/2000

Current Firm

SPEECE THORSON CAPITAL GROUP INC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPEECE THORSON CAPITAL GROUP INC

TRUST BUT VERIFY

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