Chris S. Caswell

SWAN GLOBAL INVESTMENTS

TAMPA, FL 33607

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CRD#: 6128752

Professional summary

Chris Stephen Caswell, who also goes by Christopher Stephen Caswell, is a registered financial advisor currently at SWAN GLOBAL INVESTMENTS, LLC located in Tampa, Florida and NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska.

Chris is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Chris has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Christopher Stephen Caswell

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.

MR. CASWELL IS A LIMITED PARTER WITH OHC ADVISORS, LLC LOCATED AT 12060 SOUTHWEST 129TH COURT, SUITE 200, MIAMI, FL 33186. OHC ADVISORS, LLC IS A PRIVATE REAL ESTATE VENTURE THAT IS BUILDING A SENIOR ASSISTED LIVING FACILITY. MR. CASWELL BEGAN THIS INVESTMENT RELATED ACTIVITY IN JUNE 2021 AND HAS NO DAY TO DAY ACTIVITIES AND DOES NOT SPEND ANY TIME TOWARDS THIS ACTIVITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chris Stephen Caswell'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 2, 2015 - Present

SWAN GLOBAL INVESTMENTS, LLC

Office #1: 4350 W. Cypress St Suite 725, Tampa, FL 33607

RIA

CRD#: 114669

TAMPA, FL

Current

July 17, 2015 - Present

NORTHERN LIGHTS DISTRIBUTORS, LLC

Office #1: 4221 North 203rd Street, Suite 100, Elkhorn, NE 68022

CRD#: 126159

Elkhorn, NE

Past

November 29, 2012 - May 28, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

TAMPA, FL

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".

SWAN GLOBAL INVESTMENTS, LLC

SWAN CONSULTING, INC. | SWAN WEALTH ADVISORS, INC. | SWAN GLOBAL INVESTMENTS, LLC

CRD#: 114669 / SEC#: 801-70881

RIA

Registered Investment Advisory firm - (1/4/2010 Approved)

Colorado

Registered Investment Advisory firm - (2/19/2010 Terminated)

Texas

Registered Investment Advisory firm - (1/4/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

IAR

Colorado
(10/2/2015)

Colorado
(9/1/2023)

IAR

Florida
(12/11/2015)

Florida
(2/5/2019)

Nebraska
(9/1/2023)

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

Exams

State Security Law Exam

IAR

Series 65

Date: 10/2/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/6/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/16/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/27/2012

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SWAN GLOBAL INVESTMENTS, LLC

SWAN CONSULTING, INC. | SWAN WEALTH ADVISORS, INC. | SWAN GLOBAL INVESTMENTS, LLC

CRD#: 114669 / SEC#: 801-70881

RIA

Registered Investment Advisory firm - (1/4/2010 Approved)

Colorado

Registered Investment Advisory firm - (2/19/2010 Terminated)

Texas

Registered Investment Advisory firm - (1/4/2010 Terminated)

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Contact information

Main Address

1099 Main Ave Suite 206, Durango, CO 81301

Mailing Address

Phone number

(970) 382-8901

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SWAN GLOBAL INVESTMENTS LLC ADV PART 2A BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	1,969
AUM (Assets Under Management)	$ 2,406,792,590

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

Chris S. Caswell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chris Stephen Caswell's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHERN LIGHTS DISTRIBUTORS, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

SWAN GLOBAL INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/2/2015

Series 63

Date: 12/6/2012

SIE

Date: 10/1/2018

Series 7

Date: 2/16/2017

Series 6

Date: 11/27/2012

FINRA

Current Firm

SWAN GLOBAL INVESTMENTS, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SWAN GLOBAL INVESTMENTS, LLC

TRUST BUT VERIFY

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