Chris
Caswell
Swan Global Investments, LLC
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About this Advisor
Chris Caswell is a financial advisor operating in Tampa, Florida, who has 8 years of industry experience. Caswell currently works for Swan Global Investments, LLC. Throughout their career, they have worked at Wells Fargo Bank Na, Wells Fargo Advisors LLC, Swan Global Investments, LLC and Northern Lights Distributors, LLC. Caswell has Series 63 and Series 65 licenses, qualifying them as both a securities agent and an investment advisor representative, and is registered to advise clients in Colorado and Florida. Swan Global Investments, LLC is an advisory business based in Durango, CO. It oversees $2 billion in total assets across its 3,144 client accounts, making it one of the biggest investment advisory firms in the nation by assets under management. Of its 3,144 customer accounts, just 1% are held by high-net-worth investors who have greater than $1 million in assets. Swan Global Investments, LLC has a few services, such as portfolio management for individuals and small businesses, portfolio management for investment companies and portfolio management for institutional clients. A financial advisor's fee schedules typically depend on which services are offered. Fee types charged by Swan Global Investments, LLC typically consist of asset-based fees.
Certifications and Registrations
Years Registered*
Services Offered
Fee Structure
Office Location
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Swan Global Investments, LLC Brokerage Details
$2,202,238,420
18
3,144
$700,458
Investment Advisory Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for businesses or institutional clients
Chris Caswell Work History
Chris has been registered as a financial advisor for 8 years.*
Swan Global Investments, LLC
Northern Lights Distributors, LLC
Wells Fargo Advisors LLC
Wells Fargo Bank Na
*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.
Disclosures
Please visit the SEC profile of Chris Caswell to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.
Financial Advisors at Swan Global Investments, LLC
Tampa, FL
Durango, CO
Dallas, TX
Durango, CO
Littleton, CO
Durango, CO
Milton, MA
Durango, CO
The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.
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