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DS

David D. Swanson

BROOKWOOD INVESTMENT GROUP
PORTLAND, OR
Some features on this profile are disabled
CRD#: 6614143
DS

Professional summary

David Douglas Swanson Jr, who also goes by David Douglas Swanson, is a registered financial advisor currently at BROOKWOOD INVESTMENT GROUP located in Portland, Oregon.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. David has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

David Douglas 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.
1) INDEPENDENT INSURANCE AGENT, INVESTMENT-RELATED; 308 S MONTGOMERY STREET, UNIT 21, PORTLAND OR 97201: NATURE: FIXED INSURANCE PRODUCTS; LICENSED INSURANCE PRODUCER; 80 HOURS DEVOTED PER MONTH ALL DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Douglas Swanson Jr'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

July 17, 2025 - Present

BROOKWOOD INVESTMENT GROUP

RIA
CRD#: 316544
PORTLAND, OR
Past

July 6, 2023 - March 31, 2025

REDWOOD PRIVATE WEALTH

RIA
CRD#: 312942
PORTLAND, OR
Past

September 1, 2021 - June 1, 2023

PENSION PARTNERS

RIA
CRD#: 311774
LAKE OSWEGO, OR
Past

May 31, 2017 - April 7, 2023

SWANSON FINANCIAL SERVICES, INC.

RIA
CRD#: 143113
LAKE OSWEGO, OR
Past

June 9, 2016 - May 23, 2017

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
LAKE OSWEGO, OR
Past

March 14, 2016 - April 22, 2016

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
BEAVERTON, OR

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".
BI
BROOKWOOD INVESTMENT GROUP
APO FINANCIAL | YATRA WEALTH DESIGN | THE ALCHEMISTS | T. MANN FINANCIAL | STRATEGIC ASSET PRESERVATION, INC. | REDWOOD PRIVATE WEALTH | NVISION | LAUREL WEALTH SOLUTIONS | INNOVATIVE PLANNING PARTNERS | DOVETAIL CAPITAL MANAGEMENT LLC | CK WEALTH MANAGEMENT GROUP | BURGESSER WEALTH MANAGEMENT | BROOKWOOD INVESTMENT GROUP LLC | BROOKWOOD INVESTMENT GROUP

CRD#: 316544 / SEC#: 801-122508

RIA
Registered Investment Advisory firm - (10/18/2021 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
Oregon
(7/17/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/25/2016
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 2/9/2016
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/23/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/14/2016
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 9/10/2015
National Commodity Futures Examination

Current Firm

BI
BROOKWOOD INVESTMENT GROUP
APO FINANCIAL | YATRA WEALTH DESIGN | THE ALCHEMISTS | T. MANN FINANCIAL | STRATEGIC ASSET PRESERVATION, INC. | REDWOOD PRIVATE WEALTH | NVISION | LAUREL WEALTH SOLUTIONS | INNOVATIVE PLANNING PARTNERS | DOVETAIL CAPITAL MANAGEMENT LLC | CK WEALTH MANAGEMENT GROUP | BURGESSER WEALTH MANAGEMENT | BROOKWOOD INVESTMENT GROUP LLC | BROOKWOOD INVESTMENT GROUP

CRD#: 316544 / SEC#: 801-122508

RIA
Registered Investment Advisory firm - (10/18/2021 Approved)
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Contact information

Main Address
3930 E. Ray Road Suite 155, Phoenix, AZ 85044
Mailing Address
Phone number
(480) 646-3504
Established
Firm type
Fiscal year end
# of Employees
24

SEC notice filing (32 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

BROOKWOOD INVESTMENT GROUP FIRM BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts6,200
AUM (Assets Under Management)$ 1,064,198,265

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.

Company Information

BROOKWOOD INVESTMENT GROUP

CRD#: 316544Portland, OR

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