Christopher P. Swales
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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Paul Swales's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 31, 2020 - Present
SWALES FINANCIAL LLC
June 26, 2019 - April 23, 2020
STATE FARM VP MANAGEMENT CORP.
October 18, 2011 - October 2, 2018
CITIGROUP GLOBAL MARKETS INC.
October 17, 2011 - October 2, 2018
CITIGROUP GLOBAL MARKETS INC.
June 1, 2009 - October 6, 2011
MORGAN STANLEY
June 1, 2009 - October 6, 2011
MORGAN STANLEY
November 21, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 17, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 2, 2007 - June 23, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 23, 2008
MORGAN STANLEY & CO. LLC
January 25, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
January 25, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
October 12, 2005 - December 20, 2006
BOLTON GLOBAL CAPITAL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/31/2020)
Exams
Current Firm
SWALES FINANCIAL LLC
CRD#: 309033 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 34 |
| AUM (Assets Under Management) | $ 5,492,355 |
Red Flags
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