CS
Chris A. Swenson
WISCONSIN WEALTH ADVISORS
Sun Prairie, WI 53590
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CRD#: 4287391
CS
Professional summary
Chris Allen Swenson is a registered financial advisor currently at WISCONSIN WEALTH ADVISORS, LLC located in Sun Prairie, Wisconsin and HARBOUR INVESTMENTS, INC. located in Sun Prairie, Wisconsin.
Chris is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Chris has worked at 2 firms and has passed the Series 66, Series 63, 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. INVESTMENT ADVISER REPRESENTATIVE THROUGH WISCONSIN WEALTH ADVISORS, LLC RIA, OWNER, 1777 W. MAIN ST ,SUITE 203, SUN PRAIRIE, WI 53590, START DATE 5/26/2009, 110 HOURS DURING SECURITIES TRADING HOURS AND 25 HOURS MONTH AFTER. 2. INDEPENDENT INSURANCE AGENT DBA SWENSON AGENCY 3. BOARD MEMBER, SUN PRAIRIE BUSINESS AND EDUCATION PARTNERSHIP, 501 S BIRD ST SUN PRAIRIE WI 53590. 4. BOARD MEMBER, SUN PRAIRIE EDUCATION FOUNDATION INC., 501 S BIRD ST SUN PRAIRIE WI 53590. 5. Chris Swenson, Sole Proprietor; Sun Prairie, WI; Investment Related; Insurance Agent, Fixed Insurance Sales; Started06/2002; Approximately 2 hours per month spent; 0 hours spent during trading hours. 6. Harbor Investments, Inc.; Madison, WI; Investment Related; Registered Representative;Broker/Dealer product sales; Started 10/2000; Approximately 12 hours per month spent; 1 hour spent during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Chris Allen 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®
NoneExperience
Current
February 26, 2016 - Present
WISCONSIN WEALTH ADVISORS, LLC
Office #1: 1777 West Main Street Suite 203, Sun Prairie, WI 53590RIA
CRD#: 145946
Sun Prairie, WI
Current
October 26, 2000 - Present
HARBOUR INVESTMENTS, INC.
Office #1: 1777 W. Main Street Suite 203, Sun Prairie, WI 53590Office #2: 583 D'onofrio Dr Suite 1005, Madison, WI 53719RIA
BD
CRD#: 19258
Sun Prairie, WI
Past
April 3, 2009 - February 18, 2016
WISCONSIN WEALTH ADVISORS, LLC
RIA
CRD#: 145946
SUN PRAIRIE, WI
Past
November 20, 2000 - December 31, 2020
HARBOUR INVESTMENTS, INC.
RIA
CRD#: 19258
SUN PRAIRIE, WI
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".
WW
WISCONSIN WEALTH ADVISORS, LLC
CAPITAL WEALTH ADVISORS LTD. | WISCONSIN WEALTH ADVISORS, LLC | WEALTH ADVISORS, LLC
CRD#: 145946 / SEC#: 801-133696
RIA
Registered Investment Advisory firm - (6/18/2025 Approved)Illinois
Registered Investment Advisory firm - (2/20/2018 Terminated)Texas
Registered Investment Advisory firm - (11/8/2024 Terminated)Wisconsin
Registered Investment Advisory firm - (7/1/2025 Terminated)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
Arizona(6/24/2015)
RR
California(1/2/2025)
RR
Colorado(1/2/2025)
RR
Florida(6/24/2015)
RR
Illinois(6/24/2015)
RR
Kansas(4/1/2024)
RR
Minnesota(3/28/2007)
RR
New York(5/20/2022)
RR
North Carolina(2/23/2022)
RR
Ohio(5/20/2022)
RR
Oklahoma(3/30/2022)
RR
Oregon(6/24/2015)
RR
South Carolina(9/28/2022)
RR
Texas(12/14/2022)
RR
Wisconsin(11/20/2000)
IAR
Wisconsin(2/26/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WW
WISCONSIN WEALTH ADVISORS, LLC
CAPITAL WEALTH ADVISORS LTD. | WISCONSIN WEALTH ADVISORS, LLC | WEALTH ADVISORS, LLC
CRD#: 145946 / SEC#: 801-133696
RIA
Registered Investment Advisory firm - (6/18/2025 Approved)Illinois
Registered Investment Advisory firm - (2/20/2018 Terminated)Texas
Registered Investment Advisory firm - (11/8/2024 Terminated)Wisconsin
Registered Investment Advisory firm - (7/1/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1777 West Main Street Suite 203, Sun Prairie, WI 53590
Mailing Address
Phone number
(608) 837-9099
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 581 |
| AUM (Assets Under Management) | $ 114,201,602 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
