Mark Dean Swanson

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2006 → 01/2024
  Securities America, Inc.
  Kearney, NE
• 09/2006 → 01/2024
  Securities America Advisor Inc
  Kearney, NE
• 01/2006 → Present
  Black Oak Investment Counsel, Inc.
  Kearney, NE
• 01/2024 → Present
  Lpl Financial
  Kearney, NE

Previous Registrations

• 2006-09-29 → 2024-02-09
  Securities America Advisors, Inc.
  Kearney, NE
  Kearney, NE
  Kearney, NE
• 1998-04-01 → 2006-09-21
  Wealth Advisors Network, Inc.
  Kearney, NE

Other Businesses

1) 01/2024 - Black Oak Investment Counsel,Inc / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s)160 Hrs per month / 100% Time Spent

Exams

• S63 Uniform Securities Agent State Law Examination
  1985-05-13