James Robert Swanson

Employer firm

Jrs Investments And Wealth Preservation, LLC CRD 146933

$15.4M regulatory AUM

Reported services (Item 5G)

Portfolio management (individuals)

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

Current Employers

Jrs Investments And Wealth Preservation, Llc

Union, WA • United States

Current Registrations

Authority	Category	Status	Date
HI	RA	APPROVED	2020-06-05
WA	RA	APPROVED	2015-09-11
CA	RA	APPROVED	2008-06-04

HI RA
APPROVED

Since 2020-06-05
WA RA
APPROVED

Since 2015-09-11
CA RA
APPROVED

Since 2008-06-04

Branch Locations

Union, WA • United States

Disclosures

1 disclosure category 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 No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Jrs Investments And Wealth Preservation, Llc	San Diego	CA	04/2008	Present
Kaplan Financial	Chicago	IL	02/2004	11/2024

04/2008 → Present

Jrs Investments And Wealth Preservation, Llc

San Diego, CA
02/2004 → 11/2024

Kaplan Financial

Chicago, IL

Previous Registrations

2002-06-25 → 2008-06-24

Next Financial Group, Inc.

San Diego, CA

San Diego, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-10-21
S63	Uniform Securities Agent State Law Examination	1988-04-07

S65 Uniform Investment Adviser Law Examination

1994-10-21
S63 Uniform Securities Agent State Law Examination

1988-04-07

Other Names

Jim Swanson

View on SEC IAPD