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Christopher Jon Swenson

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Information

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

Christopher Swenson is a financial professional at LPL Financial LLC, a broker-dealer with over 17,900 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.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
LPL Financial LLC 1 year Jul 2013 - Present
Cornerstone Wealth Management, LLC 1 year Jul 2013 - Present
Edward D. Jones & Co., L.P. 16 years, 11 months Aug 1996 - Jul 2013
Exams
ExamSeriesPassed Date
Uniform Securities Agent State Law ExaminationSeries 63 11/06/1996
General Securities Representative ExaminationSeries 7 11/01/1996

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.

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.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees