MS
Mark C. Swenson
PACKERLAND BROKERAGE SERVICES
WINONA, MN 55987
Some features on this profile are disabled
CRD#: 5335977
MS
Professional summary
Mark Carl Swenson, who also goes by Mark Swenson, is a registered financial advisor currently at PACKERLAND BROKERAGE SERVICES, INC. located in Winona, Minnesota.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Mark has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Swenson
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.
SWENNY INC, HWY 61 LIQUOR 1213 GILMORE AVE A-3, WINONA MN 55987 TITLE: OWNER DUTIES: RETAIL LIQUOR STORE HOURS DEVOTED: 16 HOURS START DATE 08/2013 NON INVESTMENT AND INSURANCE RELATED MCS Holdings, LLC 200 E 3rd St Winona MN, 55987 A building for personal storage, future retail rental March 1, 2024 200 E 3rd St, Winona, MN 55987 <1hour 100% Non-investment related MCS Holdings, LLC 730 Prairie Island Rd N Winona MN, 55987 Retail rental property Rent starts April 1, 2024 176 E 3rd St, Winona MN 55987 <1 hour per month. Triple net lease so tenant responsible for all taxes/insurance/repairs 100% ownership Non-investment related MCS Hospitality, LLC 176 E 3rd St Winona MN, 55987 Restaurant Silent owner April 1, 2024 176 E 3rd St, Winona MN 55987 12 hours per month 90% ownership Non-investment related Swenson Financial 1213 Gilmore Avenue A-6 Winona, MN 55987 Sale of life insurance and fixed annuities investment related
CRS (Client Relationship Summary) - RIA
Click below to view Mark Carl Swenson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Carl Swenson'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 7, 2015 - Present
PACKERLAND BROKERAGE SERVICES, INC.
Office #1: 1078 W 5th St, Winona, MN 55987RIA
BD
CRD#: 37031
WINONA, MN
Current
April 7, 2015 - Present
PACKERLAND BROKERAGE SERVICES, INC.
Office #1: 1078 W 5th St, Winona, MN 55987RIA
BD
CRD#: 37031
WINONA, MN
Past
November 18, 2011 - April 16, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
AUSTIN, MN
Past
August 10, 2009 - April 16, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
AUSTIN, MN
Past
December 12, 2008 - July 22, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
ROCHESTER, MN
Past
September 6, 2007 - December 4, 2008
EDWARD JONES
RIA
CRD#: 250
ONALASKA, WI
Past
June 28, 2007 - December 4, 2008
EDWARD JONES
BD
CRD#: 250
ONALASKA, WI
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".
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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(5/29/2024)
IAR
California(5/29/2024)
RR
Minnesota(4/7/2015)
IAR
Minnesota(4/7/2015)
RR
Virginia(8/5/2022)
IAR
Virginia(8/8/2022)
RR
Wisconsin(4/7/2015)
IAR
Wisconsin(4/28/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
432 Security Blvd. Ste. 101, Green Bay, WI 54313-9709
Mailing Address
432 Security Blvd., Green Bay, WI 54313
Phone number
(920) 662-9500
Established
Wisconsin since 07/11/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
286
SEC notice filing (47 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KELLY, ZACHARY P | DIRECTOR, SHAREHOLDER, CEO, BOARD PRESIDENT & SECRETARY | 5263665 |
| VAN ESS, WILLIAM SCOTT | DIRECTOR, SHAREHOLDER, CHAIRMAN OF THE BOARD | 1929840 |
| WESTENBERG, STEVEN G | DIRECTOR, SHAREHOLDER, VICE CHAIRMAN , TREASURER | 2440924 |
| BOSTWICK, KAREN P | SHAREHOLDER | 2643853 |
| DOELGER, AARON ANDREW | SHAREHOLDER, CHIEF COMPLIANCE OFFICER | 4357639 |
Regulatory assets under management
| Total Number of Accounts | 4,245 |
| AUM (Assets Under Management) | $ 909,478,703 |
Disclosures
| Regulatory Event | 2 |
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.
