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William Swanson

Raymond James Financial Services Advisors, INC
47 Years of Experience
Aspen, CO
4 DisclosuresBroker
View SEC Summary
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William Swanson is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Aspen, CO, with 47 years of industry experience. William is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

307 Aspen Airport Business Center, Suite P, Aspen, CO, 81611

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2017
Settled
Customer Dispute
January 2005
Closed-No Action
Customer Dispute
September 2002
Settled
Criminal
October 1969
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other 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
January 2009 - Present · 17 yrs 9 mos
Raymond James Financial Services, INC.Broker
August 2005 - Present · 21 yrs 2 mos
Previous Registrations
Raymond James Financial Services
October 2005 - January 2009 · 3 yrs 3 mos
Morgan Stanley
January 2002 - August 2005 · 3 yrs 7 mos
Morgan Stanley Dw INC.Broker
November 2001 - August 2005 · 3 yrs 9 mos
Salomon Smith Barney INC.Broker
July 1993 - November 2001 · 8 yrs 4 mos
Lehman Brothers INC.Broker
August 1979 - July 1993 · 13 yrs 11 mos
State Registrations15 states
AZCACOCTDEFLLAMANHNVNYPAUTVAVT
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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