DS
Daniel L. Swanson
KESTRA ADVISORY SERVICES
Bonita Springs, FL
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CRD#: 4648179
DS
Professional summary
Daniel Lee Swanson is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Bonita Springs, Florida and KESTRA INVESTMENT SERVICES, LLC located in Burr Ridge, Illinois.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Daniel has worked at 4 firms and has passed the Series 66, 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.
Business Name: Dan Swanson Investment Related: Yes Address: One Lincoln Center Suite 360 Oakbrook Terrace IL 60181 Nature of Business: Insurance Position, Title or Relationship: Owner Start Date: 4/1/2003 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: As needed. Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: BlueLake Wealth Advisors, LLC Investment Related: Yes Address: 745 McClintock Drive, Suite 120 Burr Ridge IL 60181 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Managing Member of LLC. Start Date: 9/15/2017 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Financial planning, investment management, and insurance and management
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Lee Swanson'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
April 19, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 745 Mcclintock Suite 120, Burr Ridge, IL 60527RIA
CRD#: 283330
Bonita Springs, FL
Current
October 25, 2004 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 745 Mcclintock, Burr Ridge, IL 60527BD
CRD#: 42046
Burr Ridge, IL
Past
October 25, 2004 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
OAKBROOK TERRACE, IL
Past
October 31, 2003 - November 3, 2004
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
May 19, 2003 - November 4, 2004
THE ADVISORS GROUP, INC.
RIA
CRD#: 14035
OAKBROOK TERRACE, IL
Past
April 11, 2003 - October 31, 2003
THE ADVISORS GROUP, INC.
BD
CRD#: 14035
BETHESDA, MD
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.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
Alabama(4/3/2023)
RR
Arizona(3/28/2023)
RR
California(7/24/2007)
RR
Colorado(5/25/2006)
RR
Connecticut(1/19/2011)
RR
Florida(2/2/2006)
IAR
Florida(11/9/2020)
RR
Georgia(12/13/2022)
RR
Illinois(10/25/2004)
IAR
Illinois(4/19/2016)
RR
Indiana(10/25/2004)
RR
Iowa(11/9/2020)
RR
Kansas(12/8/2006)
RR
Kentucky(5/30/2019)
RR
Maryland(11/9/2021)
RR
Michigan(3/28/2023)
RR
New York(2/20/2020)
RR
North Carolina(9/10/2013)
RR
Ohio(3/5/2025)
RR
Oregon(7/2/2010)
RR
Pennsylvania(4/3/2023)
RR
South Carolina(5/24/2011)
RR
Texas(5/30/2019)
IAR
Texas(7/27/2023)
RR
Wisconsin(3/28/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
