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Northlake, TX • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-04-04 |
Branch Locations
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Scottrade | Austin | TX | 04/2015 | 09/2016 |
| Bank Of America, N.A. | Lakeway | TX | 09/2016 | 01/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incoporated | Lakeway | TX | 09/2016 | 01/2019 |
| Unemployed | Austin | TX | 01/2019 | 04/2019 |
| Bb&T Securities, Llc | Dallas | TX | 04/2019 | 05/2020 |
| Retire With Swan | Northlake | TX | 05/2020 | Present |
Christopher Swan, CFP® is an independent insurance agent. As such, Christopher Swan, CFP® in his separate capacity as an insurance agent, will be able to purchase insurance and insurance-related investment products (insurance) for your account, for which they will receive separate and customary compensation. While Christoper Swan, CFP® endeavors at all times to put the interest of our Clients first as part of our firm's fiduciary duty, you should be aware that the receipt of additional compensation itself creates a conflict of interest, and may affect their judgment when making recommendations. This activity accounts for approximately 30% of their time.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-07-18 |
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