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Christopher James Swanson

Raymond James & Associates, Inc.

New York, NY

North Bellmore, NY

CRD 5787028

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Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

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

Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-14
  • NY RA
    APPROVED
    Since 2021-06-14

Branch Locations

320 Park Avenue Fl 9, New York, NY 10022 • United States

North Bellmore, NY • 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
Raymond James & Associates New York NY 10/2011 Present
Cfa Ny Wantagh NY 05/2018 07/2018
Independent Contractor Through Cfa Ny North Bellmore NY 05/2019 05/2019
  • 10/2011 → Present
    Raymond James & Associates
    New York, NY
  • 05/2018 → 07/2018
    Cfa Ny
    Wantagh, NY
  • 05/2019 → 05/2019
    Independent Contractor Through Cfa Ny
    North Bellmore, NY
Previous Registrations
  • 2011-03-17 → 2011-06-27
    Waddell & Reed
    Hamden, CT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-03-16
  • S66 Uniform Combined State Law Examination
    2011-03-16

View on SEC IAPD

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