ES
Eric N. Swanson
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CRD#: 5481223
ES
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Eric Nicholas Swanson was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2008. Eric had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
April 2, 2012 - April 13, 2012
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
DES MOINES, IA
Past
April 2, 2012 - April 13, 2012
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
DES MOINES, IA
Past
February 16, 2011 - February 21, 2012
DEWAAY CAPITAL MANAGEMENT
RIA
CRD#: 116214
CLIVE, IA
Past
February 16, 2011 - February 21, 2012
DEWAAY FINANCIAL NETWORK, LLC
BD
CRD#: 30767
CLIVE, IA
Past
November 17, 2010 - February 1, 2011
MERCER GLOBAL ADVISORS INC.
RIA
CRD#: 147363
SCOTTSDALE, AZ
Past
June 26, 2008 - August 4, 2010
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
PHOENIX, AZ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
VF
VSR FINANCIAL SERVICES, INC.
ADVANCED FINANCIAL STRATEGIES | MBT FINANCIAL | MATTHEW BURKE | MATT DRESDEN INSURANCE SOLUTIONS, LLC | MASINMISKO | MARTINSBURG BANK AND TRUST | MARTIN CAPITAL MANAGEMENT, LLC | LYNN WHITCHER | LOWRY FINANCIAL SERVICES | LOWERY, WELDON & COMPANY, CPAS, PA | LONGENECKER FINANCIAL SERVICES | LONE WOLF FINANCIAL, LLC | LMC FINANCIAL SERVICES, LLC | LLOYD INVESTMENT SERVICES | LEIGHTON STATE BANK | LEAF INVESTMENT GROUP | LARSON FINANCIAL SERVICES, INC. | LACKEY FINANCIAL MANAGEMENT | KOWITZ FINANCIAL GROUP, LLC | KNIGHT INVESTMENTS GROUP, INC. | KNIGHT INVESTMENTS GROUP, INC | KFK FINANCIAL ADVISORY SERVICES | KENNEDY FINANCIAL SERVICES | KECHELY WEALTH MANAGEMENT | KAUP'S INSURANCE AND INVESTMENTS, INC. | KAUP'S FINANCIAL ADVISORS, INC. | KATHLEEN LAURIN | K.A.K. INVESTMENTS, INC. | K.A.K. BROKERAGE, INC. | JOSEPH ALFINITO | JON GRAMS | JOHN PRATT FINANCIAL LLC | JOHN DELANEY FINANCIAL | JIM BLOSSER AND ASSOCIATES | JESSE J. GRIFFIN, JR, CFP, INC. | JAMES E. HEARNS AND ASSOCIATES | J. R. HINZ & ASSOCIATES | ISG EQUITY SALES CORPORATION | ISG ADVISORS | IRONHORSE WEALTH MANAGEMENT | INVESTORS CAPITAL ADVISORY | INVESTMENT SERVICES GROUP | INVESTMENT CONCEPTS, LLC. | INTEGRITY FINANCIAL ADVISORS, INC | INTEGRATED INVESTMENT GROUP (IIG) | INSURANCE AND EMPLOYEE BENEFITS, INC. | INSURANCE & WEALTH STRATEGIES, LLC | INDEPENDENT INVESTMENT SERVICES | INDEPENDENT FINANCIAL SERVICES | HUTCHINSON INCOME TAX & FINANCIAL SERVICES | HESTER & COMPANY, PC | HERITAGE PRIVATE WEALTH MANAGEMENT, LLC | HERITAGE ADVISORS, LLC | HELGESON FINANCIAL SERVICES | HCSB FINANCIAL SERVICES | HAWAII FINANCIAL ADVISORS, INC. | HAROLD JOHNSON | HANDWERKER FINANCIAL, LLC | GREGG HORSMAN | GRAY-LEWIS ADVISORY GROUP, LLC | GLEASON FINANCIAL GROUP | GILBERT & COOK, INC. | GEMINI FINANCIAL ADVISORS, LLC | GAGNE AND ASSOCIATES | FULFER AND ASSOCIATES, INC. | FRAZIER DECAMP FINANCIAL SERVICES | FOUREST, LLC | FOREMAN FINANCIAL GROUP | FLEMING FINANCIAL SERVICES | FIRST FINANCIAL SERVICES GROUP | FIRST FINANCIAL CENTER OF DALLAS | FIRST ADVISORS | FINANCIAL SOLUTIONS, INC. | FINANCIAL PLANNING AND MANAGEMENT, INC. | FINANCIAL PLANNING & CONSULTING SERVICES, LLC | FINANCIAL PARTNERS, INC. | FINANCIAL ALTERNATIVES OF MINNEAPOLIS, INC. | FFG RETIREMENT COUNSELING | FAULKNER ASSET MANAGEMENT, LLC | FALTER WEALTH MANAGEMENT SERVICES, INC. | FALCON FINANCIAL SERVICES, INC. | ETA FINANCIAL SERVICES | ENDEAVOR INVESTMENT RESOURCES | EMPLOYEE FINANCIAL PLANNING RESOURCES | DSM FINANCIAL | DRESDEN INSURANCE | DISCIPLINED EQUITIES | DERAMUS WEALTH MANAGEMENT, LLC | DENNIS E. WILT & ASSOCIATES | DELTA INVESTMENT SERVICES, INC. | DAVID STUART FINANCIAL | DAUBERT & BUTLER ASSOCIATES, INC. | CTL FINANCIAL GROUP | CROWN WEALTH MANAGEMENT | CREST FINANCIAL GROUP | CRANFILL & ASSOCIATES WEALTH MANAGEMENT | COURTESY FINANCIAL ADVISORS | CORE INVESTMENTS GROUP | CORE + FINANCIAL STRATEGIES, LLC | COORDINATED BENEFIT PLANS | COMPENSATION DESIGNS, LLC. | COMMUNITY FIRST INVESTMENT SERVICES GROUP | COMMONWEALTH CONCIERGE | COLLIER SUSTAINABLE WEALTH MANAGEMENT | COLEMAN/QUINER, LTD | CISNEROS FINANCIAL SERVICES, LLC | CHRISTOPHER WESSELS | CHAPMAN WEALTH MANAGEMENT | CETERA ADVISOR NETWORKS LLC | CENTURY FINANCIAL SERVICES | CENTS & SENSIBILITY, INC. | CARRIE HIBNER | CARPENTER & ASSOCIATES | CARPENTER & ASSOC FINANCIAL & ADVISORY SERVICES, LLC | CARNEGIE WEALTH MANAGEMENT | CARLYLE WEALTH PLANNING | CARLYLE WEALTH MANAGEMENT | CAPITAL RESOURCES GROUP, INC. | CALKINS-YOUNGQUIST FINANCIAL LIFE PLANNING LLC | C.E. CAMPBELL & ASSOCIATES | C. GERACI & COMPANY WEALTH AND INVESTMENT ADVISORS | C. GERACI & COMPANY | BURR AND ASSOCIATES | BURCH & COMPANY, INC. | BUFFALO TRACE FINANCIAL GROUP | BRODINE FINANCIAL SERVICES, INC. | BORST INVESTMENT PLANNING SERVICES, INC. | BODENSTEINER INVESTMENT ADVISORS, INC. | BODENSTEINER INVESTMENT ADVISORS | BKT MANAGEMENT COMPANY | BENNETT ELY | BECKETT WEALTH MANAGEMENT GROUP, LLC | BEARING FINANCIAL ADVISORS, LLC | BAUMGARTNER FINANCIAL SERVICES, LTD. | ARMAGOST FINANCIAL GROUP, LLC | ALEXANDER INVESTMENT SERVICES, INC. | ALBA FINANCIAL GROUP | ALBA DOW BENEFIT SOLUTIONS...
CRD#: 14503 / SEC#: 801-61672, 8-30780
BD
Terminated by SEC on 01/09/2017
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Contact information
Main Address
8620 W. 110th Street, Overland Park, KS 66210
Mailing Address
Phone number
Established
Missouri since 10/07/1983
Firm type
Corporation
Fiscal year end
December
# of Employees
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VSR GROUP, LLC | PARENT CORPORATION | |
| BRETADO, SANTIAGO AVILA | CHIEF FINANCIAL OFFICER | 1945627 |
| EISENHAUER, JEFFREY NEAL | VICE PRESIDENT AND TRADE DESK DIRECTOR | 2345135 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| OLSON, GREGORY ALAN | SECRETARY | 2692482 |
| SCRUGGS, CHATTEN WALKER | SENIOR VICE PRESIDENT AND CHIEF TECHNOLOGY OFFICER | 2739132 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STANFIELD, JAMES MICHAEL | CHIEF EXECUTIVE OFFICER | 433482 |
| STANFIELD, JON MICHAEL | PRESIDENT, BD CCO AND RIA CCO | 4955169 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
| Bond | 1 |
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.
