DS
Davin K. Swanson
CETERA INVESTMENT ADVISERS LLC
MCINTOSH, MN
Some features on this profile are disabled
CRD#: 5092704
DS
Professional summary
Davin Kristofor Swanson is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mcintosh, Minnesota and CETERA WEALTH SERVICES, LLC located in Mcintosh, Minnesota.
Davin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Davin has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
1) Hatzung Insurance Agency~'NIR'~4021 Vernon Ave S~St. Louis Park~MN~55416~Independent Insurance Agent~Insurance Sales Agent~9/1/2010~20hrs~20hrs~offer insurance products 2) King Town Mutual Insurance Company~'NIR'~265 SW Cleveland Ave~McIntosh~MN~56556~Other~President~2/6/2017~1hrs~1hrs~Attend Board Meetings 3) McIntosh Fireman's Relief Association~'NIR'~PO Box 356~McIntosh~MN~56556~Board Position/Officer~Other~2/1/2019~1hrs~0hrs~Balance Checkbook. Help Complete Annual Audits 4) Hill River Hunting Inc~'NIR'~33346 300th Ave SE~McIntosh~MN~56556~Insurance Agent~Agent~9/28/2020~80hrs~65hrs~Sell and service insurance policies. WIN E MAC ISD 2609 5) POSITION: Independent Contractor NATURE: Substitute Teacher.? Teach our children INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2020; ADDRESS: 23130 345th St SE, Erskine MN 56556; Make sure the classroom is on task 6) WIN E MAC ISD POSITION: Board Member NATURE: ~; I will help set the vision, goals, and policy for the school district INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020; ADDRESS: 23130 345th St SE, Erskine MN 56535; Monthly Meetings 7) DAVIN AND AMANDA SWANSON POSITION: Owner NATURE: Agriculture, beef cow/calf operation. INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 0 START DATE: 01/12/2013; ADDRESS: 33346 300th Ave SE, McIntosh MN 56556; Calve out cows and sell calves annually. 8) HILL RIVER HUNTING INC POSITION: Agent/Advisor NATURE: Insurance and Investment Sales thru Hatzung Insurance (disclosed) and Avantax. INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 65 START DATE: 03/15/2014; ADDRESS: 33346 300th Ave SE, McIntosh MN 56556;Sell and service insurance policies and investment accounts. 9)Davin and Amanda Swanson; Owner; Agriculture land rented to a farmer; NIR; 0; 09/25/2020; 33346 300th Ave SE McIntosh MN 56556; Renter completes all necessary task to keep the land in production; 10) NAME OF OTHER BUSINESS: ASPHULT CEMETERY; INVESTMENT RELATED: NO; ADDRESS: 330TH ST SE, MCINTOSH, MN 56556; NATURE OF BUSINESS: BOARD; START DATE: 11/2025; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: BALANCE CHECKBOOK (DEPOSITS AND PAY BILLS);
CRS (Client Relationship Summary) - RIA
Click below to view Davin Kristofor 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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
MCINTOSH, MN
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 175 North Broadway, Mcintosh, MN 56556BD
CRD#: 13572
McIntosh, MN
Past
January 9, 2014 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
MCINTOSH, MN
Past
November 14, 2012 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
McIntosh, MN
Past
September 15, 2010 - November 29, 2012
HARBOUR INVESTMENTS, INC.
BD
CRD#: 19258
ST. LOUIS PARK, MN
Past
March 27, 2006 - July 27, 2007
COUNTRY TRUST BANK
RIA
CRD#: 109487
EDINA, MN
Past
February 3, 2006 - June 30, 2010
COUNTRY CAPITAL MANAGEMENT COMPANY
BD
CRD#: 12060
EDINA, MN
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
California(9/5/2025)
RR
Florida(9/5/2025)
RR
Minnesota(9/5/2025)
IAR
Minnesota(9/5/2025)
RR
Montana(9/5/2025)
RR
New Mexico(9/5/2025)
RR
North Dakota(9/5/2025)
RR
Virginia(9/5/2025)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
