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Keith Donald Swanson

Scs

Bellevue, WA

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Current Employers
Scs

10900 Ne 8Th Street 15Th Floor - Suite 1550, Bellevue, WA 98004 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2022-10-31
  • WA RA
    APPROVED
    Since 2022-10-31

Branch Locations

10900 Ne 8Th Street 15Th Floor - Suite 1550, Bellevue, WA 98004 • 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
Pacific Financial Group Bellevue WA 09/2006 03/2018
Unemployed Seattle WA 04/2018 03/2019
University Of Washington Seattle WA 04/2019 06/2019
Penn Mutual Life Insurance Company Horsham PA 06/2019 10/2020
Hornor, Townsend & Kent, Llc Horsham PA 06/2019 10/2020
Pacific Capital Resource Group Bellevue WA 07/2019 11/2021
Lpl Financial Bellevue WA 11/2021 Present
Scs Bellevue WA 10/2022 Present
  • 09/2006 → 03/2018
    Pacific Financial Group
    Bellevue, WA
  • 04/2018 → 03/2019
    Unemployed
    Seattle, WA
  • 04/2019 → 06/2019
    University Of Washington
    Seattle, WA
  • 06/2019 → 10/2020
    Penn Mutual Life Insurance Company
    Horsham, PA
  • 06/2019 → 10/2020
    Horsham, PA
  • 07/2019 → 11/2021
    Pacific Capital Resource Group
    Bellevue, WA
  • 11/2021 → Present
    Lpl Financial
    Bellevue, WA
  • 10/2022 → Present
    Bellevue, WA
Previous Registrations
Other Businesses

1. 11/03/2021 - TRIAS SOCCER CENTRAL - Not Investment Related - 28231 187TH AVE SEO KENT WA 98042 - Outside/W-2 Employment - 4 hr/mon - 1% - Part time soccer referee. 2. 11/03/2021 - SCS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. Registered Broker-dealer rep at LPL Financial LLP

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-08-26
  • S66 Uniform Combined State Law Examination
    2019-08-26
Designations
Other Names
  • Keith D Swanson

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