Carl Edward Swanson
Investment adviser representative at LPL Financial LLC
15 yearsExperience
1 stateRegistered in
$819.1BFirm assets
51 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
15 years in the industry.
- LPL Financial LLCJul 2025 to now
- Opoc.usJan 2011 to now
- Cadaret Grant & Co., Inc.Nov 2023 to Jul 2025
- Securities America AdvisorsDec 2017 to Nov 2023
- Securities America, Inc.Dec 2017 to Nov 2023
- Invest Financial CorporationJan 2011 to Dec 2017
Exams passed
- Series 66 · Uniform Combined State Law2013
State registrations
Registered as an investment adviser representative in 1 state (OH).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5884453
- Firm CRD
- 6413