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Richard Lee Swanson

World Investment Advisors, LLC

Chicago, IL

CRD 2069196

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Employer firm

World Investment Advisors, LLC CRD 208512

$71.6B regulatory AUM 7 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

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

Current Employers
World Investment Advisors, Llc

437 Newman Springs Road, Lincroft, NJ 07738 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2022-07-01
  • IL RA
    APPROVED
    Since 2022-07-01

Branch Locations

Chicago, IL • 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
Aon Securities Llc Chicago IL 01/2021 02/2022
Aon Investments Usa Inc Chicago IL 10/2013 02/2022
Pensionmark Securities, Llc Santa Barbara CA 05/2022 11/2024
World Investment Advisors, Llc Lincroft NJ 05/2022 Present
  • 01/2021 → 02/2022
    Aon Securities Llc
    Chicago, IL
  • 10/2013 → 02/2022
    Aon Investments Usa Inc
    Chicago, IL
  • 05/2022 → 11/2024
    Pensionmark Securities, Llc
    Santa Barbara, CA
  • 05/2022 → Present
    World Investment Advisors, Llc
    Lincroft, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-07-01
  • S66 Uniform Combined State Law Examination
    2022-07-01
Other Names
  • Rich Swanson
  • Richard Lee Swanson

View on SEC IAPD

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