William Swanson
William Swanson is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Aspen, CO, with 46 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
307 Aspen Airport Business Center, Suite P, Aspen, CO, 81611
Get directionsHistory
Regulatory History (4)
Customer Dispute
January 2017Customer Dispute
January 2005Customer Dispute
September 2002Criminal
October 1969Other Business Activities
William owns rental real estate property since 2007, dedicating about 10-20% of his time to billing, collecting rents, and performing minor maintenance. This activity is investment-related.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
Previous Registrations
Raymond James Financial Services
Morgan Stanley
Morgan Stanley Dw INC.Broker
Salomon Smith Barney INC.Broker
Lehman Brothers INC.Broker
State Registrations15 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.