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Scott Michael Swanson

Cerity Partners LLC

New York, NY

Los Angeles, CA

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Current Employers
Cerity Partners Llc

99 Park Avenue 16Th Floor, New York, NY 10016 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-10-03
  • CA RA
    APPROVED
    Since 2022-10-03

Branch Locations

99 Park Avenue 16Th Floor, New York, NY 10016 • United States

601 Figueroa Street #2000, Los Angeles, CA 90017 • 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
Cerity Partners Llc Los Angeles CA 10/2022 Present
Covington Capital Management Los Angeles CA 04/2014 09/2022
  • 10/2022 → Present
    Cerity Partners Llc
    Los Angeles, CA
  • 04/2014 → 09/2022
    Covington Capital Management
    Los Angeles, CA
Previous Registrations
  • 2013-11-25 → 2014-04-07
    D.A. Davidson & Co.
    Great Falls, MT
    Los Angeles, CA
  • 2013-11-04 → 2013-11-25
    Crowell Weedon & Co.
    Los Angeles, CA
  • 2009-07-22 → 2013-11-04
    Crowell, Weedon & Co.
    Los Angeles, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2006-12-14
S65 Uniform Investment Adviser Law Examination 1991-11-26
  • S63 Uniform Securities Agent State Law Examination
    2006-12-14
  • S65 Uniform Investment Adviser Law Examination
    1991-11-26
Designations
Other Names
  • Scott Swanson

View on SEC IAPD

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