Chris S. Caswell
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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Chris Stephen Caswell's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 2, 2015 - Present
SWAN GLOBAL INVESTMENTS, LLC
Office #1: 4350 W. Cypress St Suite 725, Tampa, FL 33607July 17, 2015 - Present
NORTHERN LIGHTS DISTRIBUTORS, LLC
Office #1: 4221 North 203rd Street, Suite 100, Elkhorn, NE 68022November 29, 2012 - May 28, 2015
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
SWAN GLOBAL INVESTMENTS, LLC
CRD#: 114669 / SEC#: 801-70881
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/2/2015)
(9/1/2023)
(12/11/2015)
(2/5/2019)
(9/1/2023)
Exams
FINRA
Current Firm
SWAN GLOBAL INVESTMENTS, LLC
CRD#: 114669 / SEC#: 801-70881
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,969 |
| AUM (Assets Under Management) | $ 2,406,792,590 |
Red Flags
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