Nicholas P. Swanson

SAVVY

Arvada, CO

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CRD#: 6500770

Professional summary

Nicholas Peter Swanson, who also goes by Nick Swanson, is a registered financial advisor currently at SAVVY located in Arvada, Colorado.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Nicholas has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nick Swanson

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Peter Swanson'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

August 27, 2025 - Present

SAVVY

RIA

CRD#: 318493

Arvada, CO

Past

April 3, 2023 - August 22, 2025

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

GREENWOOD VILLAGE, CO

Past

May 5, 2022 - April 3, 2023

PERSONAL CAPITAL ADVISORS CORPORATION

RIA

CRD#: 155172

Wheat Ridge, CO

Past

February 7, 2020 - August 17, 2021

FISHER INVESTMENTS

RIA

CRD#: 107342

CAMAS, WA

Past

January 8, 2018 - December 10, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

LAKEWOOD, CO

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".

SAVVY

CRD#: 318493 / SEC#: 801-123656

RIA

Registered Investment Advisory firm - (4/11/2022 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.

Highlighted states indicate IAR registrations

IAR

Colorado
(8/27/2025)

IAR

Texas
(8/29/2025)

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 65

Date: 2/7/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/2/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/8/2018

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SAVVY

CRD#: 318493 / SEC#: 801-123656

RIA

Registered Investment Advisory firm - (4/11/2022 Approved)

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Contact information

Main Address

111 West 33rd Street Unit 1410, New York, NY 10001

Mailing Address

Phone number

(833) 745-6789

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAVVY ADV PART 2 (8/19/2025)

Regulatory assets under management

Total Number of Accounts	3,776
AUM (Assets Under Management)	$ 1,295,318,161

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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Firm Stability Insights

Nicholas P. Swanson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Peter Swanson's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER ADVISORY GROUP, LLC

PERSONAL CAPITAL ADVISORS CORPORATION

FISHER INVESTMENTS

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

SAVVY

State Registrations and Notice Filings

Exams

Series 65

Date: 2/7/2020

Series 63

Date: 4/2/2018

SIE

Date: 10/1/2018

Series 6

Date: 1/8/2018

Current Firm

SAVVY

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAVVY

TRUST BUT VERIFY

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