Christopher Alan Swanson

Current Employers

Employment History

• 12/1999 → Present
  Chris Swanson, Cpa
  River Falls, WI
• 05/2007 → Present
  Sns Mgmt, Llc Dba Dunn Bros. Coffee
  River Falls, WI
• 10/2013 → Present
  Lpl Financial Llc
  Hudson, WI
• 11/2016 → Present
  Summit Investment Advisory Services, Inc.
  Hudson, WI

Previous Registrations

• 2017-01-20 → 2025-02-06
  Summit Investment Advisory Services
  Roseville, MN
  Hudson, WI
• 2001-04-12 → 2013-11-12
  Waddell & Reed
  St Paul, MN
  Lake Elmo, MN
  Hudson, WI
  River Falls, WI

Other Businesses

1. 11/4/2013 - DUNN BROS COFFEE - Investment Related - Other-Business Owner - Time Spent 4% - OFFICER IN CHARGE OF STRATEGIC MANAGEMENT. 2. 11/2/2016 - Summit Investment Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start 12/01/2016 - 160 Hours Per Month During Securities Trading. 3. 11/28/2016 - SNS Management LLC - Investment Related - 2521 Hanley Road, Hudson WI 54016 - Business Entity For Tax/Investment Purposes Only - Started 05/23/2007 - 20 Hours Per Month/10 Hours During Securities Trading - Owner assisting with business decisions. 4. 2/3/2017 - Summit Investment Advisory Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 12/01/2016 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Summit Investment Advisory Services, an independent investment advisor firm. I started this business activity in 12/01/2016. I expect to spend approximately [160 hours per month] on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 7/5/2017 - Swan Financial, LLC - Investment Related - Home Based - Tax Prep/Accounting/CPA - Started 06/01/2017 - 5 Hours Per Month/0 Hours During Securities Trading. 6. 09/23/2022 - Shuneson LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date - 01/02/2023 - 20 Hours Per Month/10 Hours During Securities Trading 7. 02/12/2025- Innovative Planning Group (IPG)- DBA for LPL Business (entity for LPL business)- Investment Related - At Reported Business Location(s) - Start Date 02/10/2025 - 150 hours per month/ during trading 8. 02/24/2025- Innovative Planning Group (IPG)- Registered Investment Advisor DBA- IAR - Investment Related - At Reported Business Location(s) - Start Date 02/10/2025 - 150 hours per month/ during trading 9. 02/24/2025- Great Valley Advisor Group- Registered Investment Advisor Hybrid- IAR - Investment Related - At Reported Business Location(s) - Start Date 02/10/2025 - 150 hours per month/ during trading- I provide investment advisory services through Great Valley Advisor Group, Inc., an independent investment advisor firm. I started this business activity in 02/2025. I expect to spend approximately 150 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 10.04/29/2025 -IPG Risk Management LLC - Non-Variable Insurance - Investment Realted - MN,Woodbury - 5 Hrs/Mth - 5 Hrs During Trading - Start Date:03/05/2025

Exams

• S66 Uniform Combined State Law Examination
  1999-12-28

Designations

Other Names

• Chris Swanson