ES
Erik W. Sweress
INVESCO ADVISERS
DELAWARE, OH
Some features on this profile are disabled
CRD#: 5575232
ES
Professional summary
Erik William Sweress is a registered financial advisor currently at INVESCO ADVISERS, INC. located in Delaware, Ohio and INVESCO DISTRIBUTORS, INC. located in Delaware, Ohio.
Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Erik has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 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) OLENTANGY PATRIOTS LITTLE LEAGUE; NOT INVESTMENT RELATED; N/A; YOUTH SPORTS; VOLUNTEER BASEBALL COACH: 6-8 YEARS OLD BOYS; START: 04/2024; NONE; VOLUNTEER BASEBALL COACH: 6-8 YEARS OLD BOYS. (2) FLAG FOOTBALL FANATICS; NOT INVESTMENT RELATED; PO BOX 1443, HILLARD, OHIO 43026, USA; YOUTH SPORTS; VOLUNTEER FOOTBALL COACH FOR 4-6 YEAR OLD KIDS; START: 04/2024; NONE; VOLUNTEER FOOTBALL COACH FOR 4-6 YEAR OLD KIDS. (3) OLENTANGY YOUTH ATHLETIC ASSOCIATION; NOT INVESTMENT RELATED; PO BOX 476, LEWIS CENTER, OH 43065, USA; YOUTH SPORTS; VOLUNTEER FLAG FOOTBALL COACH; START: 08/2024; 08HRS/MO, NOT DURING TRADING HOURS; VOLUNTEER FLAG FOOTBALL COACH. (4) OHIO THUNDER - YOUTH TRAVEL BASEBALL; NOT INVESTMENT RELATED; 3982 POWELL RD, STE 82, POWELL, OH 43065, USA; YOUTH TRAVEL BASEBALL; YOUTH TRAVEL BASEBALL COACH; START: 08/2024; 05-10HRS/MO, NOT DURING TRADING HOURS; YOUTH TRAVEL BASEBALL COACH.
CRS (Client Relationship Summary) - RIA
Click below to view Erik William Sweress'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
November 14, 2011 - Present
INVESCO ADVISERS, INC.
RIA
CRD#: 105360
DELAWARE, OH
Current
June 1, 2010 - Present
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
Delaware, OH
Past
February 23, 2010 - June 1, 2010
INVESCO CAPITAL MARKETS, INC.
BD
CRD#: 6939
OAKBROOK TERRACE, IL
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".
IA
INVESCO ADVISERS, INC.
INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.
CRD#: 105360 / SEC#: 801-33949
RIA
Registered Investment Advisory firm - (12/30/1988 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
Alabama(9/30/2019)
RR
Alaska(9/30/2019)
RR
Arizona(9/30/2019)
RR
Arkansas(9/30/2019)
RR
California(9/30/2019)
RR
Colorado(9/30/2019)
RR
Connecticut(9/30/2019)
RR
Delaware(9/30/2019)
RR
District of Columbia(9/30/2019)
RR
Florida(9/30/2019)
RR
Georgia(5/28/2019)
RR
Hawaii(9/30/2019)
RR
Idaho(9/30/2019)
RR
Illinois(9/30/2019)
RR
Indiana(5/28/2019)
RR
Iowa(9/30/2019)
RR
Kansas(9/30/2019)
RR
Kentucky(12/26/2014)
RR
Louisiana(9/30/2019)
RR
Maine(9/30/2019)
RR
Maryland(5/28/2019)
RR
Massachusetts(9/30/2019)
RR
Michigan(12/26/2014)
RR
Minnesota(9/30/2019)
RR
Mississippi(9/30/2019)
RR
Missouri(9/30/2019)
RR
Montana(9/30/2019)
RR
Nebraska(9/30/2019)
RR
Nevada(9/30/2019)
RR
New Hampshire(9/30/2019)
RR
New Jersey(9/30/2019)
RR
New Mexico(9/30/2019)
RR
New York(9/30/2019)
RR
North Carolina(9/30/2019)
RR
North Dakota(9/30/2019)
RR
Ohio(12/26/2014)
RR
Oklahoma(9/30/2019)
RR
Oregon(9/30/2019)
RR
Pennsylvania(5/28/2019)
RR
Puerto Rico(9/30/2019)
RR
Rhode Island(9/30/2019)
RR
South Carolina(9/30/2019)
RR
South Dakota(9/30/2019)
RR
Tennessee(5/28/2019)
RR
Texas(9/30/2019)
IAR
Texas(7/17/2025)
RR
Utah(9/30/2019)
RR
Vermont(9/30/2019)
RR
Virgin Islands(9/30/2019)
RR
Virginia(12/26/2014)
RR
Washington(9/30/2019)
RR
West Virginia(12/26/2014)
RR
Wisconsin(9/30/2019)
RR
Wyoming(9/30/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INVESCO ADVISERS, INC.
INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.
CRD#: 105360 / SEC#: 801-33949
RIA
Registered Investment Advisory firm - (12/30/1988 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
1331 Spring Street Nw Suite 2500, Atlanta, GA 30309
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046
Phone number
(404) 892-0896
Established
Firm type
Fiscal year end
# of Employees
2,872
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 61,236 |
| AUM (Assets Under Management) | $ 756,881,223,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 09/27/2024 | ||
| 10/27/2023 |
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.
