Zachary Gilbert Swain

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2003-03-31

TX RA
APPROVED

Since 2003-03-31

Branch Locations

8309 Whitley Rd Ste 101, Watauga, TX 76148 • United States

2000 E Lamar Blvd Ste 600, Arlington, TX 76006 • United States

Fort Worth, TX • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Watauga	TX	09/2005	03/2020
Ameriprise Financial Services, Llc	Watauga	TX	03/2020	Present

09/2005 → 03/2020

Ameriprise Financial Services, Inc.

Watauga, TX
03/2020 → Present

Ameriprise Financial Services, Llc

Watauga, TX

Other Businesses

Real Estate Ownership; Commercial; 8309 Whitley RdWatauga,TX 76148, ,; ; . Business Ownership; Swain Resources LLC; Owner and President; Consulting; 8309 Whitley Rd, , Watauga, TX, 76148; Not Investment-Related; 07/01/2020; 1 to 9 hours per month; 0 during trading hours / Axios Holdings LLC; Owner; Commercial Real Estate; 8309 Whitley Rd. Watauga,TX 76148, , Watauga, TX, 76148; Not Investment-Related; 12/01/2006; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Swain Resources; President - President; ; 8309 Whitley Rd. Ste. 101, , Watauga, TX, 76149; Not Investment-Related; 07/01/2020; 1 to 9 hours per month; 0 during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-03-27

S66 Uniform Combined State Law Examination

2003-03-27

View on SEC IAPD