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Steven Paul Swensen
CRD#: 2951587
IA
Investment Adviser
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Broker
GREAT LAKES ADVISORS, LLCCRD#: 110757 231 S. LASALLE STREET
4TH FLOOR
CHICAGO, IL 60604
WINTRUST INVESTMENTS LLCCRD#: 875 231 SOUTH LASALLE STREET
13TH FLOOR
CHICAGO, IL 60604
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2017 - 2022 (5 years)2 FIRMS2023 - Present (1 year)BJANUS DISTRIBUTORS LLC (CRD# 28832)2003 - 2004 (<1 year)BFIDELITY INVESTMENTS INSTITUTI... (CRD# 17507)2001 - 2002 (1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)1997 - 2001 (3 years)
Disclosure(s)
View By:
2/4/2004
Employment Separation After Allegations
License(s)

State Registrations

B
Illinois 8/31/2023

IA
Illinois 9/6/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
GREAT LAKES ADVISORS, LLC (CRD#:110757)
231 S. LASALLE STREET 4TH FLOOR, CHICAGO, IL 60604
Registered with this firm since 9/6/2023

B
WINTRUST INVESTMENTS LLC (CRD#:875)
231 SOUTH LASALLE STREET 13TH FLOOR, CHICAGO, IL 60604
Registered with this firm since 8/25/2023

Previous Registration(s)
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IA
06/05/2017 - 05/18/2022 MORGAN STANLEY (CRD#:149777) Salt Lake City, UT
B
05/15/2017 - 05/18/2022 MORGAN STANLEY (CRD#:149777) Salt Lake City, UT
B
04/25/2003 - 02/12/2004 JANUS DISTRIBUTORS LLC (CRD#:28832) DENVER, CO
B
02/21/2001 - 10/30/2002 FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (CRD#:17507) SMITHFIELD, RI
B
11/14/1997 - 02/21/2001 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SMITHFIELD, RI
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.