Christopher A. Swan

RETIRE WITH SWAN

Hockley, TX

Some features on this profile are disabled

CRD#: 5810132

Professional summary

Christopher Allan Swan, CFP® is a registered financial advisor currently at RETIRE WITH SWAN located in Hockley, Texas.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Christopher has worked at 6 firms and has passed the Series 66, Series 7TO, SIE and Series 7 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.

Christopher Swan, CFP� is an independent insurance agent. As such, Christopher Swan, CFP� in his separate capacity as an insurance agent, will be able to purchase insurance and insurance-related investment products (insurance) for your account, for which they will receive separate and customary compensation. While Christoper Swan, CFP� endeavors at all times to put the interest of our Clients first as part of our firm's fiduciary duty, you should be aware that the receipt of additional compensation itself creates a conflict of interest, and may affect their judgment when making recommendations. This activity accounts for approximately 30% of their time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Allan Swan'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®

CFP^®

Certified Financial Planner

Start date: 2018

Experience

Current

April 4, 2023 - Present

RETIRE WITH SWAN

RIA

CRD#: 310807

Hockley, TX

Past

January 14, 2021 - December 31, 2021

RETIRE WITH SWAN

RIA

CRD#: 310807

FRISCO, TX

Past

May 10, 2019 - May 14, 2020

BB&T SECURITIES, LLC

RIA

CRD#: 142785

IRVING, TX

Past

April 8, 2019 - May 14, 2020

BB&T SECURITIES, LLC

CRD#: 142785

IRVING, TX

Past

October 14, 2016 - January 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MARBLE FALLS, TX

Past

October 13, 2016 - January 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MARBLE FALLS, TX

Past

April 13, 2015 - September 23, 2016

SCOTTRADE, INC.

CRD#: 8206

AUSTIN, TX

Past

November 19, 2014 - April 17, 2015

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

AUSTIN, TX

Past

November 19, 2014 - April 17, 2015

CHARLES SCHWAB & CO., INC.

CRD#: 5393

AUSTIN, TX

Past

July 23, 2014 - October 2, 2014

EDWARD JONES

RIA

CRD#: 250

ST. LOUIS, MO

Past

June 24, 2014 - October 2, 2014

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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.

Highlighted states indicate IAR registrations

IAR

Texas
(4/4/2023)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/18/2014

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/22/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/24/2014

General Securities Representative Examination

Current Firm

RETIRE WITH SWAN

RETIRE WITH SWAN | SWAN CAPITAL GROUP, LLC | SWAN CAPITAL FINANCIAL PLANNING | SWAN CAPITAL

CRD#: 310807 / SEC#:

Texas

Registered Investment Advisory firm - (3/9/2023 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

Northlake, TX

Mailing Address

Phone number

(940) 373-5877

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	52
AUM (Assets Under Management)	$ 9,750,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Christopher A. Swan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Allan Swan's CRS (Customer Relationship Summary).

Certified licenses

Experience

RETIRE WITH SWAN

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SCOTTRADE, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 7/18/2014

Series 7TO

Date: 12/22/2022

SIE

Date: 10/1/2018

Series 7

Date: 6/24/2014

Current Firm

RETIRE WITH SWAN

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RETIRE WITH SWAN

TRUST BUT VERIFY

Similar Advisors