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Information

Other Names: , Chris Swenson
Firm:
Additional Firm:
Type: Dual Registration
Description

Christopher Swenson is a financial professional at LPL Financial LLC, a broker-dealer with over 17,700 registered representatives nationwide. Christopher is also registered with Cornerstone Wealth Management, LLC, an $814M RIA based in St Peters, MO. Christopher has held an industry securities registration for 17 years and is subject to SEC and FINRA oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Christopher Jon Swenson has not answered any questions on Financial Q&A.

Top Guides

Christopher Jon Swenson has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
LPL Financial LLC 9 months, 3 weeks Jul 2013 - Present
Cornerstone Wealth Management, LLC 9 months, 3 weeks Jul 2013 - Present
Edward D. Jones & Co., L.P. 16 years, 11 months Aug 1996 - Jul 2013
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 09/13/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Customer Dispute

As of Date
09/13/2013
09/20/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Securities Agent State Law Examination Series 63 11/06/1996
General Securities Representative Examination Series 7 11/01/1996

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees