Craig Ray Swann

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

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

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

Current Employers

Employment History

• 12/2015 → 11/2016
  Wells Fargo Advisors Llc
  Dallas, TX
• 11/2016 → Present
  Wells Fargo Clearing Services, Llc
  Dallas, TX

Previous Registrations

• 2015-05-19 → 2015-12-28
  Credit Suisse Securities (Usa) Llc
  Dallas, TX
• 2002-08-28 → 2004-05-17
  Banc Of America Investment Services, Inc.
  Garland, TX
• 1999-02-03 → 2002-08-22
  Morgan Stanley Dw Inc.
  Dallas, TX

Other Businesses

JUVENILE DIABETES RESEARCH FOUNDATION, INVT RELATED, DALLAS, TX, TREASURER, START DATE 6/1/2017, 2 HRS PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS, PROVIDING REPORTS OF PROGRESS AND FINANCIAL GOALS AND PARTICIPATE IN INTERNAL AUDIT. | WEST LAKE CLUB, INC; NOT INV RELATED; HAWKINS, TX; HUNTING CHAIRMAN; 02/2025; 2 HOURS PER MONTH; 0 DURING TRADING; HOA TO HANDLE BUSINESS OF PROPERTY AND LANDOWNERS

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-01-28
• S63 Uniform Securities Agent State Law Examination
  1999-01-14

Other Names

• Craig R Swann