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CHRISTOPHER PAUL SWALES
CRD#: 5023622
IA
Investment Adviser
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Previous Broker
SWALES FINANCIAL LLCCRD#: 309033 ERIE, CO
Registration History
20062008201020122014201620182020202220242 FIRMS2007 - 2007 (<1 year)2 FIRMS2007 - 2008 (1 year)2 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - 2011 (2 years)2 FIRMS2011 - 2018 (7 years)IASWALES FINANCIAL LLC (CRD# 309033)2020 - Present (4 years)BSTATE FARM VP MANAGEMENT CORP. (CRD# 43036)2019 - 2020 (<1 year)BDELTA EQUITY SERVICES CORPORATION (CRD# 15650)2005 - 2006 (1 year)
License(s)

State Registrations

IA
Colorado 8/31/2020

Current Registration(s)
IA
SWALES FINANCIAL LLC (CRD#:309033)
ERIE, CO
Registered with this firm since 8/31/2020

Previous Registration(s)
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06/26/2019 - 04/23/2020 STATE FARM VP MANAGEMENT CORP. (CRD#:43036) BLOOMINGTON, IL
IA
10/18/2011 - 10/02/2018 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) Erie, CO
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10/17/2011 - 10/02/2018 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) Erie, CO
IA
06/01/2009 - 10/06/2011 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) TAMPA, FL
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06/01/2009 - 10/06/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) TAMPA, FL
IA
11/21/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) TAMPA, FL
B
11/17/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) TAMPA, FL
IA
04/02/2007 - 06/23/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) WILKES BARRE, PA
B
04/02/2007 - 06/23/2008 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) WILKES BARRE, PA
IA
01/25/2007 - 04/02/2007 MORGAN STANLEY (CRD#:7556) SCRANTON, PA
B
01/25/2007 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) SCRANTON, PA
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10/12/2005 - 12/20/2006 DELTA EQUITY SERVICES CORPORATION (CRD#:15650) WILKES-BARRE, PA
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Disclosures
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