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Christopher Jon Swenson

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Other Names: Chris Swenson
Additional Firm:
Type: SEC and FINRA Registered

Christopher Swenson is a financial professional at LPL Financial LLC, a broker-dealer with over 18,100 registered representatives nationwide. Christopher is also registered with Cornerstone Wealth Management, LLC, a $726M RIA based in St Peters, MO. Christopher has held an industry securities registration for 18 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
LPL Financial LLC 2 years, 4 months Jul 2013 - Present
Cornerstone Wealth Management, LLC 2 years, 4 months Jul 2013 - Present
Edward D. Jones & Co., L.P. 16 years, 11 months Aug 1996 - Jul 2013
ExamSeriesPassed Date
Uniform Securities Agent State Law ExaminationSeries 63 11/06/1996
General Securities Representative ExaminationSeries 7 11/01/1996

Answers and Articles

0 Answers and 0 Financial Articles

Top Answers

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

Top Articles

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

Firm Client Types

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

License Status

1 Customer Dispute

1 Customer Dispute

As of Date
*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

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees