Scott B. Swanson
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CRD#: 440838
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Scott Byrne Swanson, CFP® was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1974. Scott had worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO, SIE, Series 31, PC, Series 000, Series 1, Series 53 and Series 24 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Retirement Planning
Insurance Planning
Estate Planning
Are you a "fiduciary"?
No
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)Name of Business: KOTTR LLC Address: 4311 Phil, Bellaire, TX, 77401, United States Activity Type: Business Owner Position/Title: Other Investment Related: Yes Start Date: 07/08/2021 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I am co Manager and Special Manger of this LLC created by my brother Christopher Liljenstolpe. Christopher is also co manager of this LLC. There will be no activity inside the LLC ,it exists merely to hold stock (2)Name of Business: Swanson Interest LLC Address: 4311 Phil , Bellaire , TX, 77401, United States Activity Type: Business Owner Position/Title: Other Investment Related: Yes Start Date: 09/12/2022 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Administrative member/LLC
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1978
Experience
Past
January 6, 1997 - August 1, 2025
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
HOUSTON, TX
Past
December 1, 1995 - August 1, 2025
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
HOUSTON, TX
Past
October 4, 1993 - November 29, 1995
FORTH FINANCIAL SECURITIES, CORPORATION
BD
CRD#: 14363
RICHMOND, VA
Past
May 18, 1993 - November 27, 1995
GS2 SECURITIES, INC.
BD
CRD#: 14745
MILWAUKEE, WI
Past
April 19, 1989 - May 14, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
November 30, 1978 - June 14, 1979
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
February 24, 1978 - September 12, 1978
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
September 5, 1974 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
BD
CRD#: 6466
Past
August 27, 1974 - April 4, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
BD
CRD#: 839
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".
RAYMOND JAMES & ASSOCIATES, INC.
ALEX. BROWN | STRATEGIC INVESTMENT MANAGEMENT SERVICES | RAYMOND JAMES CONSULTING SERVICES | RAYMOND JAMES & ASSOCIATES, INC. | PUBLIC FINANCE INVESTMENT STRATEGIES GROUP | INVESTMENT ADVISORY SERVICES | INSTITUTIONAL FIDUCIARY SOLUTIONS | ASSET MANAGEMENT SERVICES
CRD#: 705 / SEC#: 801-10418, 8-10999
RIA
Registered Investment Advisory firm - SEC (12/19/1974 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 8/1/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 000
Date: 8/27/1974
General Securities Principal ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 8/27/1974
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
RAYMOND JAMES & ASSOCIATES, INC.
ALEX. BROWN | STRATEGIC INVESTMENT MANAGEMENT SERVICES | RAYMOND JAMES CONSULTING SERVICES | RAYMOND JAMES & ASSOCIATES, INC. | PUBLIC FINANCE INVESTMENT STRATEGIES GROUP | INVESTMENT ADVISORY SERVICES | INSTITUTIONAL FIDUCIARY SOLUTIONS | ASSET MANAGEMENT SERVICES
CRD#: 705 / SEC#: 801-10418, 8-10999
RIA
Registered Investment Advisory firm - SEC (12/19/1974 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
880 Carillon Parkway, St. Petersburg, FL 33716
Mailing Address
880 Carillon Parkway, St. Petersburg, FL 33716
Phone number
(727) 567-1000
Established
Florida since 02/19/1969
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees
13,966
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
