Keith D. Swanson

SCS

Bellevue, WA 98004

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CRD#: 5123351

Professional summary

Keith Donald Swanson, who also goes by Keith D Swanson, is a registered financial advisor currently at SCS located in Bellevue, Washington and LPL FINANCIAL LLC located in Bellevue, Washington.

Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Keith has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Keith D Swanson

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. 11/03/2021 - TRIAS SOCCER CENTRAL - Not Investment Related - 28231 187TH AVE SEO KENT WA 98042 - Outside/W-2 Employment - 4 hr/mon - 1% - Part time soccer referee. 2. 11/03/2021 - SCS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. Registered Broker-dealer rep at LPL Financial LLP

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Donald Swanson's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 31, 2022 - Present

SCS

Office #1: 10900 Ne 8th Street 15th Floor - Suite 1550, Bellevue, WA 98004

RIA

CRD#: 310849

Bellevue, WA

Current

November 3, 2021 - Present

LPL FINANCIAL LLC

Office #1: 10900 Ne 8th St.15th Fl #1550, Bellevue, WA 98004

RIA

CRD#: 6413

Bellevue, WA

Past

November 5, 2020 - November 4, 2021

OSAIC WEALTH, INC.

RIA

CRD#: 23131

BELLEVUE, WA

Past

November 5, 2020 - November 4, 2021

OSAIC WEALTH, INC.

CRD#: 23131

BELLEVUE, WA

Past

November 21, 2019 - November 2, 2020

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

BELLEVUE, WA

Past

August 8, 2019 - November 2, 2020

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

BELLEVUE, WA

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".

SCS

BENSLER, LLC | SOUND CONSULTING SERVICES | SCS

CRD#: 310849 / SEC#: 801-119764

RIA

Registered Investment Advisory firm - (11/9/2020 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.

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

California
(11/3/2021)

Maryland
(11/3/2021)

South Carolina
(11/3/2021)

Washington
(11/3/2021)

IAR

Washington
(10/31/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/26/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/8/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/26/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

SCS

BENSLER, LLC | SOUND CONSULTING SERVICES | SCS

CRD#: 310849 / SEC#: 801-119764

RIA

Registered Investment Advisory firm - (11/9/2020 Approved)

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Contact information

Main Address

10900 Ne 8th Street 15th Floor - Suite 1550, Bellevue, WA 98004

Mailing Address

Phone number

(425) 452-1222

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCS ADV PART 2A (3/25/2025)

SCS WRAP BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts	3,472
AUM (Assets Under Management)	$ 1,637,626,061

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

Keith D. Swanson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Donald Swanson's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

Primary Firm SEC Registration

SCS

State Registrations and Notice Filings

Exams

Series 66

Date: 8/26/2019

Series 7TO

Date: 8/8/2019

SIE

Date: 7/26/2019

FINRA

Current Firm

SCS

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SCS

TRUST BUT VERIFY

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