Erik Swenson is a registered investment advisor, based in Waukesha, WI, with 45 years of industry experience.
Location
734 Clinton Street, Waukesha, WI, 53186
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Erik owns 100% of Quantum Solutions, Inc., which sells fixed annuities and occasional life insurance policies, dedicating minimal time to this. He also owns multiple real estate rental properties and Dream's Life and Wellness Center, a life coaching and spiritual healing business, and spends full-time hours on Retirement Plan Solutions, Inc., his LPL business.
Employment History
Current Registrations
Ifp Securities, LLCBroker
Independent Financial Partners
Previous Registrations
LPL Financial LLC
LPL Financial LLCBroker
Nrp Advisors, INC.
Nrp Financial, INC.Broker
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Innovative Investment Advisory, INC.
Innovative Securities, INC.Broker
Decade Securities CORP.Broker
Ndii Securities CORP.Broker
Fpc Securities CorporationBroker
State Registrations6 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.