Keaton S. Swayze
Professional summary
Keaton Stewart Swayze, who also goes by Keaton Stewart Swayze, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Spring, Texas and FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.
Keaton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Keaton has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Keaton Stewart Swayze's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
August 16, 2013 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: One Destiny Way, Westlake, TX 76262July 13, 2018 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
September 11, 2013 - July 13, 2018
STRATEGIC ADVISERS LLC
June 1, 2011 - February 4, 2013
STRATEGIC ADVISERS LLC
May 2, 2011 - January 30, 2013
FIDELITY BROKERAGE SERVICES LLC
March 16, 2010 - November 23, 2010
WELLS FARGO INVESTMENTS, LLC
March 16, 2010 - November 23, 2010
WELLS FARGO INVESTMENTS, LLC
September 24, 2009 - January 20, 2010
CHASE INVESTMENT SERVICES CORP.
September 18, 2009 - January 20, 2010
CHASE INVESTMENT SERVICES CORP.
April 7, 2009 - August 31, 2009
WELLS FARGO INVESTMENTS, LLC
April 2, 2009 - August 31, 2009
WELLS FARGO INVESTMENTS, LLC
February 7, 2008 - February 25, 2009
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 1, 2007 - January 3, 2008
RIVERSOURCE DISTRIBUTORS, INC.
April 11, 2006 - January 1, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
July 6, 2005 - March 20, 2006
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - March 20, 2006
CHASE INVESTMENT SERVICES CORP.
June 27, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
April 19, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
September 23, 2002 - December 17, 2004
WAMU INVESTMENTS, INC.
October 2, 2001 - August 29, 2002
METLIFE INVESTORS DISTRIBUTION COMPANY
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/27/2020)
(11/19/2020)
(5/28/2020)
(1/6/2014)
(9/6/2016)
(5/28/2020)
(5/28/2020)
(5/28/2020)
(5/28/2020)
(5/7/2020)
(1/7/2022)
(1/7/2022)
(5/27/2020)
(5/28/2020)
(5/29/2020)
(5/27/2020)
(5/29/2020)
(5/29/2020)
(9/11/2013)
(5/27/2020)
(5/27/2020)
(5/27/2020)
(5/28/2020)
(5/27/2020)
(1/8/2014)
(5/27/2020)
(1/12/2021)
(5/27/2020)
(6/11/2020)
(6/12/2020)
(5/27/2020)
(1/6/2014)
(5/26/2020)
(5/27/2020)
(11/23/2020)
(5/27/2020)
(1/13/2014)
(5/27/2020)
(5/27/2020)
(9/22/2020)
(5/28/2020)
(5/27/2020)
(6/4/2020)
(5/27/2020)
(8/22/2013)
(3/31/2025)
(5/27/2020)
(5/27/2020)
(5/27/2020)
(5/27/2020)
(5/27/2020)
(5/27/2020)
(11/18/2020)
Exams
FINRA
New York Stock Exchange
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
