Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
KEITH DONALD SWANSON
KEITH D SWANSON
CRD#: 5123351
IA
Investment Adviser
B
Broker
SCSCRD#: 310849 10900 NE 8TH STREET
15TH FLOOR - SUITE 1550
BELLEVUE, WA 98004
LPL FINANCIAL LLCCRD#: 6413 10900 NE 8TH ST.15TH FL #1550
BELLEVUE, WA 98004
Registration History
201920202021202220232024202520262 FIRMS2019 - 2020 (1 year)2 FIRMS2020 - 2021 (1 year)IASCS (CRD# 310849)2022 - Present (2 years)BLPL FINANCIAL LLC (CRD# 6413)2021 - Present (3 years)
License(s)

State Registrations

B
California 11/3/2021
B
Washington 11/3/2021
B
Maryland 11/3/2021
IA
Washington 10/31/2022
B
South Carolina 11/3/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SCS (CRD#:310849)
10900 NE 8TH STREET 15TH FLOOR - SUITE 1550, BELLEVUE, WA 98004
Registered with this firm since 10/31/2022
B
LPL FINANCIAL LLC (CRD#:6413)
10900 NE 8TH ST.15TH FL #1550, BELLEVUE, WA 98004
Registered with this firm since 11/3/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/05/2020 - 11/04/2021 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) BELLEVUE, WA
B
 11/05/2020 - 11/04/2021 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) BELLEVUE, WA
IA
 11/21/2019 - 11/02/2020 HORNOR, TOWNSEND & KENT, LLC (CRD#:4031) BELLEVUE, WA
B
 08/08/2019 - 11/02/2020 HORNOR, TOWNSEND & KENT, LLC (CRD#:4031) BELLEVUE, WA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.