William Eldredge Swanson

Current Employers

Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2009-01-02

CO RA
APPROVED

Since 2009-01-02

Branch Locations

307 Aspen Airport Business Center Suite P, Aspen, CO 81611 • United States

Disclosures

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.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Raymond James Financial Services	Aspen	CO	08/2005	Present
Raymond James Financial Services Advisors, Inc	Aspen	CO	01/2009	Present
High Country Financial Inc.	Aspen	CO	08/2005	Present

08/2005 → Present

Raymond James Financial Services

Aspen, CO
01/2009 → Present

Raymond James Financial Services Advisors, Inc

Aspen, CO
08/2005 → Present

High Country Financial Inc.

Aspen, CO

Previous Registrations

2002-01-04 → 2005-08-24

Morgan Stanley Dw Inc.

Centennial, CO

Other Businesses

(1)Name of Business: Address: 30018 Highway 133, Marble, CO, 81623, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 01/01/2007 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 0-1 Description of duties: bill and collect rents & minor maintenance

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-09-16
S63	Uniform Securities Agent State Law Examination	1980-10-01

S65 Uniform Investment Adviser Law Examination

1992-09-16
S63 Uniform Securities Agent State Law Examination

1980-10-01

View on SEC IAPD