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James Robert Swanson

Jrs Investments And Wealth Preservation, LLC

Union, WA

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Current Employers
Jrs Investments And Wealth Preservation, Llc

Union, WA • United States

Current Registrations

AuthorityCategoryStatusDate
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
OrganizationCityStateFromTo
Jrs Investments And Wealth Preservation, Llc San Diego CA 04/2008 Present
Kaplan Financial Chicago IL 02/2004 11/2024
Previous Registrations
  • 2002-06-25 → 2008-06-24
    Next Financial Group, Inc.
    San Diego, CA
    San Diego, CA
Exams
CodeExamDate
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

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