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1099 Main Ave Suite 206, Durango, CO 81301 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2015-12-11 |
| CO | RA | APPROVED | 2015-10-02 |
Branch Locations
4350 W. Cypress St Suite 725, Tampa, FL 33607 • United States
1099 Main Ave Suite 206, Durango, CO 81301 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Swan Global Investments, Llc | Durango | CO | 05/2015 | Present |
| Northern Lights Distributors, Llc | Elkhorn | NE | 07/2015 | Present |
MR. CASWELL IS A LIMITED PARTER WITH OHC ADVISORS, LLC LOCATED AT 12060 SOUTHWEST 129TH COURT, SUITE 200, MIAMI, FL 33186. OHC ADVISORS, LLC IS A PRIVATE REAL ESTATE VENTURE THAT IS BUILDING A SENIOR ASSISTED LIVING FACILITY. MR. CASWELL BEGAN THIS INVESTMENT RELATED ACTIVITY IN JUNE 2021 AND HAS NO DAY TO DAY ACTIVITIES AND DOES NOT SPEND ANY TIME TOWARDS THIS ACTIVITY.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-10-02 |
| S63 | Uniform Securities Agent State Law Examination | 2012-12-06 |
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