Steven Robert Swanson

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2012 → 09/2016
  J.P. Morgan Securities Llc
  Oak Brook, IL
• 09/2016 → Present
  Lpl Financial Llc
  Frankfort, IL

Previous Registrations

• 2012-10-01 → 2016-09-15
  J.P. Morgan Securities Llc
  Oak Brook, IL
  Hinsdale, IL
• 2006-02-01 → 2012-10-01
  Chase Investment Services Corp.
  Homer Glen, IL
  Mokena, IL
  Lockport, IL
  New Lenox, IL
  Hinsdale, IL
  Downers Grove, IL
  La Grange, IL
  Oak Brook, IL
  Willowbrook, IL
  Woodridge, IL
  Lockport, IL
  Mokena, IL
  Chicago, IL

Other Businesses

1) 8/1/16-Atlas Wealth Management-DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s)- start date 9/2/16- 100% 2) 10/18/2023 - Exceptional Properties Unlimited - Real Estate Rental - Landlord - Investment Related - Glen, IL - Start Date 06/30/2020 - 1 Hour Per Month/ 0 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  2004-11-11
• S63 Uniform Securities Agent State Law Examination
  2000-03-09

Designations

• Certified Financial Planner