ES
Erik P. Swanson
CETERA INVESTMENT ADVISERS LLC
EL SEGUNDO, CA 90245
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CRD#: 7812230
ES
Professional summary
Erik Paul Swanson, who also goes by Erik P Swanson, Erik Swanson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in El Segundo, California and CETERA WEALTH SERVICES, LLC located in El Segundo, California.
Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Erik has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Erik P Swanson | Erik 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) EAST POLE INC POSITION: CEO NATURE: I am the owner and sole employee of my S Corp "East Pole Inc". The scope of work encompasses to processes ofrecording, editing and mixing music for theatrical film, symphonic concert material, album or pop record material as well asrecording studio technical consulting?. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 07/07/2004 ADDRESS: 718 11th St, Hermosa Beach CA 90254, United States DESCRIPTION: 1) Interface with Film Studio Execs, Chief MixingEngineer and Composers teamto understand the scope, complexity, schedule, locations and budget of the project.2) Interface specifically with Chief Mixing Engineer to define his vision and preferences for how the project should beaccomplished3) Contact and hire appropriate third party companies to accomplish the given tasks and budgets defined by the studio.Source and purchase any hardware or software that can not be rented by a third party.?4) Discuss project schedule, scope and budget with managers and staff at thedefined? locations scheduled for work?. Technically prepare the room(s)for integration of extra equipment, interconnect and workflow techniques. Oversee and test implementation of equipment to achieve desired workflow5) Configure software, prepare for recording session, test all equipment and routing paths. Record orchestral, choir performances etc, organize and manage all data, edit performances to create best possible interpretation of the composers and directorspreferences, Mix all sonic elements and print them in an organized manner. Deliver approved mix prints to the music editor for integration with dialog and sound effects on the dub stage for the final film mix. 2) PITCHESS & PITCHESS LLP POSITION: Financial Assistant NATURE: 1) Individual and Business TaxPreparation.2)IRS Representation? 3)Tax Planning? 4) Business Entity Selection & Creation.5) Financial Planning. INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 120 START DATE: 10/31/2023 ADDRESS: 1334 Park View Ave, # 250, Manhattan Beach CA 90266, United States DESCRIPTION: 1) Setting up Client accounts.2) Financial Planning.3) Portfolio Allocation.4) Rebalance Accounts.5) Assisting Clients with needs and Concerns.
CRS (Client Relationship Summary) - RIA
Click below to view Erik Paul 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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 841 Apollo St Suite 475, El Segundo, CA 90245RIA
CRD#: 105644
EL SEGUNDO, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 841 Apollo St Suite 475, El Segundo, CA 90245BD
CRD#: 13572
El Segundo, CA
Past
March 22, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
El Segundo, CA
Past
December 18, 2023 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
El Segundo, CA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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
California(9/5/2025)
IAR
California(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/16/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
