Theodore James Swenson

Employer firm

Cwm, LLC CRD 155344

$50.6B regulatory AUM 248 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• SUB-ADVISORY SERVICES FOR OTHER INVESTMENT ADVISORY FIRMS

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2010 → 10/2018
  Lpl Financial, Llc
  Arvada, CO
• 06/2016 → 10/2018
  Western Wealth Management, Llc
  Arvada, CO
• 10/2018 → Present
  Cwm, Llc
  Omaha, NE
• 10/2018 → Present
  Valorem Financial
  Arvada, CO
• 10/2018 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 10/2018 → Present
  Carson Group Partners
  Omaha, NE
• 05/2018 → Present
  Ota, Llc
  Arvada, CO

Previous Registrations

• 2016-06-22 → 2018-10-30
  Western Wealth Management Llc
  Arvada, CO
  Englewood, CO
• 2010-12-10 → 2016-09-08
  Lpl Financial Llc
  Golden, CO
  Arvada, CO
  Englewood, CO
• 2015-10-29 → 2016-06-22
  Western Wealth Management Llc
  Arvada, CO
  Englewood, CO
  Golden, CO
• 2007-01-25 → 2010-12-14
  Edward Jones
  Arvada, CO
  Wheat Ridge, CO

Other Businesses

1.NAME OF OTHER BUSINESS: CWM, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING, AND ADDITIONAL ADVISORY SERVICES. POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 10/2018 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISORY REPRESENTATIVE 2.NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES AND LONG-TERM CARE 3. NAME OF OTHER BUSINESS: CARSON GROUP PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 10/2018 POSITION/TITLE/RELATIONSHIP: WEALTH ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: WEALTH ADVISOR 4. NAME OF OTHER BUSINESS: VALOREM FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 10/2018 POSITION/TITLE/RELATIONSHIP: CO-FOUNDER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: DBA NAME FOR SECURITIES BUSINESS 5. NAME OF OTHER BUSINESS: OTA, LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: RENTAL REAL ESTATE START DATE: 05/2018 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 BRIEF DESCRIPTION OF DUTIES: RENTAL REAL ESTATE LEASED TO VALOREM FINANCIAL 6. NAME OF OTHER BUSINESS: TIGER TROUT, LLC; INVESTMENT RELATED: NO; ADDRESS: 163 COPUNTY ROAD 100 SILVERTHORNE, CO 80498;; NATURE OF BUSINESS: VACATION PROPERTY; START DATE: 10/2021; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: GENERAL MAINTENANCE;

Exams

• S66 Uniform Combined State Law Examination
  2007-01-16
• S63 Uniform Securities Agent State Law Examination
  1998-03-27

Designations

• Certified Financial Planner

Other Names

• Ted Swenson