TrueAdvisor
TrueAdvisor
CC
CC

Chris Stephen Caswell

Swan Global Investments, LLC
12 Years of Experience
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Swan Global Investments, LLC
Compensation
Fee-Only (AUM)
Firm Size
19 advisors
Number of Clients
1,969 clients
Average Client Portfolio
$1.2M average
Assets Under Management
$2.4B

Fee Structure

Minimum Investment:$250K
Financial Planning:Investment management only

Location

4350 W. Cypress St, Suite 725, Tampa, FL, 33607

Get directions

History

Regulatory History
Clean regulatory record

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 Activities

Chris is a limited partner with OHC Advisors, LLC, a private real estate venture building a senior assisted living facility, since June 2021. He has no day-to-day activities and spends no time on this investment.

Employment History
Current Registrations
Swan Global Investments, LLC
October 2015 - Present · 10 yrs 4 mos
Northern Lights Distributors, LLC
July 2015 - Present · 10 yrs 7 mos
Northern Lights Distributors, LLCBroker
July 2015 - Present · 10 yrs 7 mos
Previous Registrations
Wells Fargo Advisors, LLCBroker
November 2012 - May 2015 · 2 yrs 6 mos
State Registrations3 states
COFLNE
AdvisorBrokerBoth
Exams
No exam information available for this advisor.