Best Investors Account Sign in
Inactive

Christopher Paul Swales

Swales Financial LLC

Erie, CO

Claim This Profile
Current Employers
Swales Financial Llc

Erie, CO • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2025-06-20
  • CO RA
    APPROVED
    Since 2025-06-20

Branch Locations

Erie, CO • 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
Citigroup Global Markets Inc Tampa FL 09/2011 09/2018
Paul Little Insurance Agency Golden CO 10/2018 Present
State Farm Vp Management Corp. Golden CO 06/2019 Present
Swales Financial Llc Erie CO 04/2020 Present
Previous Registrations
  • 2011-10-18 → 2018-10-02
    Citigroup Global Markets Inc.
    Tampa, FL
    Denver, CO
    Erie, CO
    Erie, CO
    New York, NY
    Erie, CO
  • 2009-06-01 → 2011-10-06
    Morgan Stanley
    Tampa, FL
  • 2008-11-21 → 2009-06-01
    Citigroup Global Markets Inc.
    Tampa, FL
  • 2007-04-02 → 2008-06-23
    Morgan Stanley & Co. Llc
    Wilkes Barre, PA
    Scranton, PA
  • 2007-01-25 → 2007-04-02
    Morgan Stanley Dw Inc.
    Scranton, PA
Other Businesses

Presently a registered representative of broker-dealer State Farm VP Management Corp, I intend to terminate this affiliation imminently.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-04-29
S63 Uniform Securities Agent State Law Examination 2006-01-05
  • S65 Uniform Investment Adviser Law Examination
    2006-04-29
  • S63 Uniform Securities Agent State Law Examination
    2006-01-05
Designations

View on SEC IAPD

More in Erie, CO

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor