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Ethan Bates

Swan Global Investments, LLC

Durango, CO

CRD 6277565

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Employer firm

Swan Global Investments, LLC CRD 114669

$2.39B regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (institutions)

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

Current Employers
Swan Global Investments, Llc

1099 Main Ave Suite 206, Durango, CO 81301 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2014-03-06
  • CO RA
    APPROVED
    Since 2014-03-06

Branch Locations

1099 Main Ave.- Suite 206, Durango, CO 81301 • 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
Swan Wealth Advisors, Inc. Durango CO 12/2012 Present
  • 12/2012 → Present
    Swan Wealth Advisors, Inc.
    Durango, CO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-03-06
  • S65 Uniform Investment Adviser Law Examination
    2014-03-06

View on SEC IAPD

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Nearby Investors

DAVID TRANUM
KAREN VALERIA NARANJO
NAOMI SERNA MARTY

Nearby Offices

WELLS FARGO CLEARING SERVICES, LLC · DURANGO, CO
WELLS FARGO CLEARING SERVICES, LLC · DURANGO, CO
FAMILY FINANCIAL SOLUTIONS GROUP, LLC · DURANGO, CO

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