CS
Charles A. Swaringen
LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS
Glenview, IL
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CRD#: 6872351
CS
Professional summary
Charles Allan Swaringen, who also goes by Allan Swaringen, C. Allan Swaringen, is a registered financial professional currently at LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC located in Glenview, Illinois.
Charles is registered as a RR (Registered Representative) and started their career in finance in 2017. Charles has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Allan Swaringen | C. Allan Swaringen
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 Charles Allan Swaringen'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
November 18, 2017 - Present
LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC
BD
CRD#: 157625
Glenview, IL
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(2/12/2018)
RR
Alaska(2/12/2018)
RR
Arizona(2/12/2018)
RR
Arkansas(2/12/2018)
RR
California(2/12/2018)
RR
Colorado(11/18/2017)
RR
Connecticut(2/12/2018)
RR
Delaware(2/12/2018)
RR
District of Columbia(11/18/2017)
RR
Florida(11/18/2017)
RR
Georgia(2/12/2018)
RR
Hawaii(2/12/2018)
RR
Idaho(2/12/2018)
RR
Illinois(2/12/2018)
RR
Indiana(2/12/2018)
RR
Iowa(2/12/2018)
RR
Kansas(2/12/2018)
RR
Kentucky(2/12/2018)
RR
Louisiana(11/18/2017)
RR
Maine(2/12/2018)
RR
Maryland(11/18/2017)
RR
Massachusetts(2/12/2018)
RR
Michigan(2/12/2018)
RR
Minnesota(2/12/2018)
RR
Mississippi(2/12/2018)
RR
Missouri(2/12/2018)
RR
Montana(2/12/2018)
RR
Nebraska(2/12/2018)
RR
Nevada(2/12/2018)
RR
New Hampshire(2/12/2018)
RR
New Jersey(2/12/2018)
RR
New Mexico(2/12/2018)
RR
New York(2/12/2018)
RR
North Carolina(2/13/2018)
RR
North Dakota(2/12/2018)
RR
Ohio(11/20/2017)
RR
Oklahoma(2/12/2018)
RR
Oregon(2/12/2018)
RR
Pennsylvania(2/12/2018)
RR
Rhode Island(2/12/2018)
RR
South Carolina(2/12/2018)
RR
South Dakota(2/12/2018)
RR
Tennessee(2/12/2018)
RR
Texas(2/12/2018)
RR
Utah(2/12/2018)
RR
Vermont(2/12/2018)
RR
Virginia(2/12/2018)
RR
Washington(2/12/2018)
RR
West Virginia(2/12/2018)
RR
Wisconsin(2/12/2018)
RR
Wyoming(2/12/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LI
LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC
LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC
CRD#: 157625 / SEC#: , 8-68856
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
333 West Wacker Drive Suite 2300, Chicago, IL 60606
Mailing Address
333 West Wacker Drive Suite 2300, Chicago, IL 60606
Phone number
(312) 897-4000
Established
Delaware since 03/10/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
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.
