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Christopher Patrick Swenson

B. C. Ziegler AND Co.

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About Christopher Patrick Swenson

Christopher Patrick Swenson is a registered representative with B. C. Ziegler and Co. Christopher has been in the industry since April 4, 2007. Christopher's previous employers include Ankura Capital Advisors, LLC, Piper Jaffray & Co., MTS Securities, LLC, Aurora Capital LLC, Growth Capital Services, Inc., Capstone Investments, Banc of America Securities LLC, Seven Hills Partners LLC, and Robertson Stephens, Inc. Christopher has a Series 7, Series 63, and Series 79TO license and is currently registered in California.

Firm Information

Christopher Swenson is currently registered with B. C. Ziegler AND Co.. B. C. Ziegler AND Co. is a Corporation that was formed on February 12, 1920. The firm is registered in 52 states and has been approved for SEC registration. They offer a variety of services to a diverse client base, including insurance companies, investment companies, charitable organizations, high-net-worth individuals, other investment advisers, pooled investment vehicles, banking or thrift institutions, business development companies, pension and profit-sharing plans, corporations or other businesses, individuals other than high-net-worth, state or municipal government entities, and sovereign wealth funds and foreign official institutions. The firm has disclosed 7 Regulatory Events, 2 Civil Events, and 2 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

59

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Christopher Swenson’s Registration & Firm History

IL

01/25/2021 - Present

B. C. Ziegler AND Co. (CHICAGO IL)

CA

11/30/2018 - 11/30/2020

ANKURA CAPITAL ADVISORS, LLC (San Francisco CA)

CA

03/03/2016 - 09/18/2017

PIPER JAFFRAY & CO. (SAN FRANCISCO CA)

CA

01/03/2012 - 03/02/2016

MTS SECURITIES, LLC (SAN FRANCISCO CA)

CA

05/26/2011 - 12/31/2011

AURORA CAPITAL LLC (SAN FRANCISCO CA)

DE

04/30/2010 - 06/02/2011

GROWTH CAPITAL SERVICES, INC. (CLAYMONT DE)

CA

04/20/2009 - 04/21/2010

CAPSTONE INVESTMENTS (SAN DIEGO CA)

NY

02/21/2007 - 04/06/2009

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

CA

05/12/2006 - 01/08/2007

SEVEN HILLS PARTNERS LLC (SAN FRANCISCO CA)

CA

09/22/2000 - 05/10/2001

ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 05/26/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 09/18/2017

SIE - Securities Industry Essentials Examination

BC

Issued 05/11/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Christopher Patrick Swenson.
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