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Current Employers
Great Valley Advisor Group, Llc

920 Cassatt Road Suite 202, Berwyn, PA 19312 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2025-09-09
  • WI RA
    APPROVED
    Since 2025-09-09

Branch Locations

1200 Hosford Street, Suite 202, Hudson, WI 54016 • United States

920 Cassatt Road Suite 202, Berwyn, PA 19312 • 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
OrganizationCityStateFromTo
North Central University Minneapolis MN 08/2016 05/2020
Swan Financial Hudson WI 05/2020 10/2020
Drazan, Henke, And Associates Chaska MN 10/2020 08/2024
Swan Financial Hudson WI 09/2024 02/2025
Lpl Financial Llc Hudson WI 09/2024 Present
  • 08/2016 → 05/2020
    North Central University
    Minneapolis, MN
  • 05/2020 → 10/2020
    Swan Financial
    Hudson, WI
  • 10/2020 → 08/2024
    Drazan, Henke, And Associates
    Chaska, MN
  • 09/2024 → 02/2025
    Swan Financial
    Hudson, WI
  • 09/2024 → Present
    Lpl Financial Llc
    Hudson, WI
Other Businesses

1. 03/24/2025-Innovative Planning Group- DBA for LPL Business (entity for LPL business)- Inv Rel- At Reported Business Location (s) 2. 04/01/2025 - Great Valley Advisor Group, Inc - Registered Investment Advisor Hybrid - Investment related - At Reported Business Location (s) - Start date: 03/17/2025 - 80 Hrs/Mth - 4 Hrs During Trading. I provide administrative support to Great Valley Advisor Group, Inc., an independent investment advisor firm. I started this business activity in 3/2025. I expect to spend approximately 80 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. 3. 04/01/2025 - Great Valley Advisor Group, Inc. - Registered Investment Advisor DBA - Investment related - At Reported Business Location (s) - Start date: 02/12/2025 - 80 Hrs/Mth - 4 Hrs During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-08-26
  • S66 Uniform Combined State Law Examination
    2025-08-26
Other Names
  • Nicole Elizabeth Swanson
  • Nicole E Swanson

View on SEC IAPD

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