Erik Alan Swenson

Current Employers

Employment History

• 11/2009 → Present
  Retirement Plan Solutions
  Delafield, WI
• 11/2010 → 05/2019
  Lpl Financial Llc
  Waukesha, WI
• 12/2010 → Present
  Independent Financial Partners
  Waukesha, WI
• 05/2019 → Present
  Ifp Securities, Llc
  Waukesha, WI

Previous Registrations

• 2012-11-06 → 2019-05-23
  Lpl Financial Llc
  Bryan, OH
  Waukesha, WI
• 2009-11-10 → 2010-12-01
  Nrp Advisors, Inc.
  Delafield, WI
  Bryan, OH
• 2004-10-18 → 2009-11-11
  Northwestern Mutual Investment Services, Llc
  Delafield, WI
  Milwaukee, WI
  Milwaukee, WI
• 1996-02-09 → 2004-10-11
  Innovative Investment Advisory, Inc.
  Brookfield, WI

Other Businesses

(1) 12/02/2010 - QUANTUM SOLUTIONS, INC - NON-VARIABLE INSURANCE - QUANTUM SOLUTIONS, INC. (QSI)(FORMERLY INNOVATIVE FINANCIAL SERVICES, INC.), IS A WISCONSIN S CORPORATION THAT I OWN 100% OF THE STOCK IN. BUSINESS WISE, WE SELL FIXED ANNUITIES AND OCCASIONAL LIFE INSURANCE POLICIES, GENERALLY DIRECT WITHT HE COMPANY - TIME SPENT 5% - DELAFIELD, WI (2) 01/29/2016 * Clinton Street Partners, LLC * Real Estate Rental * NOT INV REL * AT REPORTED BUSINESS LOCATION(S) * START 03/01/2016 * 1 HR/MO NOT DURING SECS TRDG HRS. (3) 11/9/2017 - Dream's Life and Wellness Center - Not Investment Related - Home Based - Other-Life Coaching & Spiritual Healing - Owner - Start Date 11/20/2017 - 20 Hours Per Month/10 Hours During Securities Trading. (4) Erik Swenson; Real Estate in Costa Rica; 734 Clinton Street, Waukesha, WI; Not Investment related; Owner; Coordinate the repair and updating work, send the funds down to pay these and once the house is available for rent (possibly Feb, March or April 2021), coordinating rentals and receiving rental income from the property; Start 11/17/20; 4 hr/mo, 2 hr/mo during trading. (2) 12/15/2025 - Dreams Faith Foundation - Not investment-related. A non-profit organization whose mission is "To enhance, empower, and enlighten the lives of individuals, humanity, and nature throughout the world." Board member. Provides insights relative to guidance and direction. 5 hours / month, 3 of which during normal trading hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-07-29
• S63 Uniform Securities Agent State Law Examination
  1980-07-18