Christopher P. Swales

SWALES FINANCIAL LLC

Erie, CO

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CRD#: 5023622

Professional summary

Christopher Paul Swales is a registered financial advisor currently at SWALES FINANCIAL LLC located in Erie, Colorado.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Christopher has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 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.

Presently a registered representative of broker-dealer State Farm VP Management Corp, I intend to terminate this affiliation imminently.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Paul Swales'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®

CRD#: 7556

SCRANTON, PA

Past

October 12, 2005 - December 20, 2006

BOLTON GLOBAL CAPITAL

CRD#: 15650

WILKES-BARRE, PA

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.

Highlighted states indicate IAR registrations

IAR

Colorado
(8/31/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/29/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/5/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/29/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/11/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/26/2010

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/13/2010

General Securities Sales Supervisor - Options Module Examination

Current Firm

SWALES FINANCIAL LLC

CRD#: 309033 / SEC#:

Colorado

Registered Investment Advisory firm - (8/31/2020 Approved)

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Contact information

Main Address

Erie, CO

Mailing Address

Phone number

(303) 519-7580

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	34
AUM (Assets Under Management)	$ 5,492,355

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.

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Advisor Monitoring

Firm Stability Insights

Christopher P. Swales

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Paul Swales's CRS (Customer Relationship Summary).

Certified licenses

Experience

STATE FARM VP MANAGEMENT CORP.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

BOLTON GLOBAL CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 4/29/2006

Series 63

Date: 1/5/2006

SIE

Date: 10/1/2018

Series 31

Date: 1/29/2007

Series 7

Date: 10/11/2005

Series 10

Date: 7/26/2010

Series 9

Date: 7/13/2010

Current Firm

SWALES FINANCIAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SWALES FINANCIAL LLC

TRUST BUT VERIFY

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