Chris Stephen Caswell
Investment adviser representative at Swan Global Investments, LLC
11 yearsExperience
2 statesRegistered in
$2.4BFirm assets
16 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 assets
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
Experience
11 years in the industry.
- Northern Lights Distributors, LLCJul 2015 to now
- Swan Global Investments, LLCMay 2015 to now
Exams passed
- Series 63 · Uniform Securities Agent State Law2012
- Series 65 · Uniform Investment Adviser Law2015
State registrations
Registered as an investment adviser representative in 2 states (CO, FL).
Swan Global Investments, LLC
$2.4BAssets managed
1,231Clients
19Advisers
16 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
- 6128752
- Firm CRD
- 114669