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Eric David Swanson

Charles Schwab & CO., Inc.

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About Eric David Swanson

Eric Swanson is a financial advisor with over 20 years of experience in the financial industry. Eric is currently registered with Charles Schwab & CO., Inc. Eric has previously been registered with TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC and CHARLES SCHWAB & CO., INC.. Eric has earned the Certified Financial Planner designation. Eric specializes in Portfolio Management for Individuals and Financial Planning for Individuals. Eric's registrations allow them to offer financial services in a range of states, including Colorado and Texas.

Firm Information

Eric Swanson is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Eric Swanson’s Registration & Firm History

CO

12/26/2023 - Present

Charles Schwab & CO., Inc. (Lone Tree CO)

CO

09/14/2006 - 01/21/2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (DENVER CO)

TX

07/31/2000 - 08/01/2005

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

OR

07/06/1995 - 11/28/1995

PHILLIPS & COMPANY SECURITIES INC. (PORTLAND OR)

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Licenses & Designations

BOTH

Issued 08/14/2021

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/06/2018

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 06/01/2011

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/07/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Eric David Swanson. Review regulatory record here.
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