AS
Austin K. Swanson
TRADESTATION SECURITIES
Chicago, IL 60606
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CRD#: 6805890
AS
Professional summary
Austin Karl Swanson, who also goes by Austin K Swanson, Austin Swanson, is a registered financial professional currently at TRADESTATION SECURITIES, INC. located in Chicago, Illinois.
Austin is registered as a RR (Registered Representative) and started their career in finance in 2017. Austin has worked at 6 firms and has passed the Series 63, Series 3, Series 7TO, SIE and Series 57 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Austin K Swanson | Austin 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.
CRS (Client Relationship Summary) - BD
Click below to view Austin Karl Swanson'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®
NoneExperience
Current
April 16, 2025 - Present
TRADESTATION SECURITIES, INC.
Office #1: 120 South Riverside Plaza Suite 1650, Chicago, IL 60606BD
CRD#: 39473
Chicago, IL
Past
March 20, 2024 - June 24, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
CHICAGO, IL
Past
March 3, 2023 - December 31, 2023
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
Chicago, IL
Past
February 10, 2023 - February 15, 2023
NORTHERN LIGHTS DISTRIBUTORS, LLC
BD
CRD#: 126159
ELKHORN, NE
Past
January 16, 2019 - February 12, 2019
HANTZ FINANCIAL SERVICES, INC.
BD
CRD#: 46047
SOUTHFIELD, MI
Past
February 2, 2018 - April 17, 2018
T3 TRADING GROUP, LLC
BD
CRD#: 154431
NEW YORK, NY
Past
July 10, 2017 - November 6, 2017
T3 TRADING GROUP, LLC
BD
CRD#: 154431
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(4/16/2025)
RR
Alaska(4/16/2025)
RR
Arizona(4/16/2025)
RR
Arkansas(4/16/2025)
RR
California(4/16/2025)
RR
Colorado(4/16/2025)
RR
Connecticut(4/16/2025)
RR
Delaware(4/16/2025)
RR
District of Columbia(4/16/2025)
RR
Florida(4/16/2025)
RR
Georgia(4/16/2025)
RR
Hawaii(4/16/2025)
RR
Idaho(4/16/2025)
RR
Illinois(4/16/2025)
RR
Indiana(4/16/2025)
RR
Iowa(4/16/2025)
RR
Kansas(4/16/2025)
RR
Kentucky(4/16/2025)
RR
Louisiana(4/16/2025)
RR
Maine(4/16/2025)
RR
Maryland(4/16/2025)
RR
Massachusetts(4/16/2025)
RR
Michigan(4/16/2025)
RR
Minnesota(4/16/2025)
RR
Mississippi(4/16/2025)
RR
Missouri(4/16/2025)
RR
Montana(4/16/2025)
RR
Nebraska(4/16/2025)
RR
Nevada(4/16/2025)
RR
New Hampshire(4/16/2025)
RR
New Jersey(4/16/2025)
RR
New Mexico(4/16/2025)
RR
New York(4/16/2025)
RR
North Carolina(4/16/2025)
RR
North Dakota(4/16/2025)
RR
Ohio(4/17/2025)
RR
Oklahoma(4/16/2025)
RR
Oregon(4/16/2025)
RR
Pennsylvania(4/16/2025)
RR
Puerto Rico(4/16/2025)
RR
Rhode Island(4/16/2025)
RR
South Carolina(4/16/2025)
RR
South Dakota(4/16/2025)
RR
Tennessee(4/16/2025)
RR
Texas(4/16/2025)
RR
Utah(4/16/2025)
RR
Vermont(4/16/2025)
RR
Virginia(4/16/2025)
RR
Washington(4/16/2025)
RR
West Virginia(4/16/2025)
RR
Wisconsin(4/16/2025)
RR
Wyoming(4/16/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/10/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
TS
TRADESTATION SECURITIES, INC.
ONLINE TRADING INC.COM | TRADESTATION SECURITIES, INC. | TRADESTATION SECURITIES | TRADESTATION | ONLINETRADNG.COM | ONLINETRADINGINC.COM CORP | ONLINETRADING.COM | ONLINETRADEINGINC.COM CORP. | ONLINE TRADING, INC.
CRD#: 39473 / SEC#: , 8-48711
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324
Mailing Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324
Phone number
(954) 652-7900
Established
Florida since 09/07/1995
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
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.
