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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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CS

Christopher P. Swenson

B. C. ZIEGLER AND COMPANY
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4259916
CS

Professional summary

Christopher Patrick Swenson, who also goes by Christopher P Swenson, is a registered financial professional currently at B. C. ZIEGLER AND COMPANY located in Chicago, Illinois.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2000. Christopher has worked at 10 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christopher P Swenson

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Patrick Swenson'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®
None

Experience

Current

January 25, 2021 - Present

B. C. ZIEGLER AND COMPANY

Office #1: One North Wacker Drive, Suite 2000, Chicago, IL 60606
BD
CRD#: 61
Chicago, IL
Past

November 30, 2018 - November 30, 2020

ANKURA CAPITAL ADVISORS, LLC

BD
CRD#: 114155
San Francisco, CA
Past

March 3, 2016 - September 18, 2017

PIPER SANDLER & CO.

BD
CRD#: 665
SAN FRANCISCO, CA
Past

January 3, 2012 - March 2, 2016

MTS SECURITIES, LLC

BD
CRD#: 104059
SAN FRANCISCO, CA
Past

May 26, 2011 - December 31, 2011

AURORA CAPITAL LLC

BD
CRD#: 37924
SAN FRANCISCO, CA
Past

April 30, 2010 - June 2, 2011

GROWTH CAPITAL SERVICES, INC.

BD
CRD#: 124658
CLAYMONT, DE
Past

April 20, 2009 - April 21, 2010

CAPSTONE INVESTMENTS

BD
CRD#: 41400
SAN DIEGO, CA
Past

February 21, 2007 - April 6, 2009

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

May 12, 2006 - January 8, 2007

SEVEN HILLS PARTNERS LLC

BD
CRD#: 118240
SAN FRANCISCO, CA
Past

September 22, 2000 - May 10, 2001

ROBERTSON STEPHENS, INC.

BD
CRD#: 41271
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(1/25/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 5/26/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/18/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/11/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/17/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

B. C. ZIEGLER AND COMPANY
B. C. ZIEGLER AND COMPANY
B. C. ZIEGLER AND COMPANY | ZIEGLER WEALTH MANAGEMENT | ZIEGLER PRIVATE EQUITY | ZIEGLER INVESTMENT SERVICES GROUP | ZIEGLER CONSULTING SERVICE | ZIEGLER CAPITAL MARKETS | ZIEGLER | REACT GROUP

CRD#: 61 / SEC#: 801-19699, 8-94

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One North Wacker Drive, Suite 2000 Suite 2000, Chicago, IL 60606
Mailing Address
One North Wacker Drive, Suite 2000, Chicago, IL 60606
Phone number
(312) 263-0110
Established
Wisconsin since 02/12/1920
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE 3.30.17 FINAL (3/30/2017)
BCZ ADV PART 2A FINAL 2017 (3/30/2017)

Direct owners and executive officers

NamePositionCRD#
THE ZIEGLER COMPANIES, INC.PARENT COMPANY
DAVID, ANGELIQUE ATHIENAEMD, GENERAL COUNSEL, CORPORATE SECRETARY, COO5445800
HERMANN, DANIEL JOSEPHCEO AND PRESIDENT1790977
JEFFERSON, RYAN TMANAGING DIRECTOR, CFO & DIRECTOR5844031
KERR, MARCLETTA RDIRECTOR, CHIEF COMPLIANCE OFFICER7463114
STROM, KEVIN LOUISEMD HEAD OF CAPITAL MARKETS1595516

Disclosures

Regulatory Event7
Civil Event2
Arbitration2

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
WisconsinERA - Withdrawn3/3/2025

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.

Company Information

B. C. ZIEGLER AND COMPANY

B. C. ZIEGLER AND COMPANY

CRD#: 61Chicago, IL 60606

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