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Erik Andrew Swanson

L.j. Hart AND Co.

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About Erik Andrew Swanson

Erik Swanson is a financial professional with over 15 years of experience in the industry. Erik holds Series 7, 24, 52, 53, 55, 63 and 65 licenses and has been registered in multiple states. Erik is currently associated with L.j. Hart And Co., and Commerce Brokerage Services, Inc. Erik is a licensed investment advisor and is also registered with FINRA.

Firm Information

Erik Swanson is currently registered with L.j. Hart AND Co.. L.j. Hart AND Co. is a Corporation formed on November 12, 1991 and is currently Approved. The firm is registered in Illinois, Louisiana, Missouri, South Dakota, Texas, and Wyoming. It has also received 1 approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

13

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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Erik Swanson’s Registration & Firm History

MO

06/05/2023 - Present

L.j. Hart AND Co. (St. Louis MO)

MO

04/14/2011 - 07/12/2013

COMMERCE BROKERAGE SERVICES, INC. (KANSAS CITY MO)

NY

04/05/2007 - 06/20/2008

UBS SECURITIES LLC (NEW YORK NY)

CA

01/26/2006 - 04/12/2007

SAYBROOK CAPITAL CORPORATION (SANTA MONICA CA)

NY

10/28/2003 - 05/13/2005

UBS SECURITIES LLC (NEW YORK NY)

NY

06/08/2000 - 07/02/2001

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/15/2019

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 02/02/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/09/2020

Series 24 - General Securities Principal Examination

BC

Issued 01/22/2016

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/27/2023

Series 99TO - Operations Professional Examination

BC

Issued 12/17/2015

Series 52 - Municipal Securities Representative Examination

BC

Issued 02/03/2001

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 06/07/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Erik Andrew Swanson.
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