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Christopher Paul Swales is a financial advisor professional located in Erie, CO. They specialize in financial advisory. With over 13 years of experience, they bring deep expertise to every client.
Christopher Paul Swales - Swales Financial Llc holds an active professional license (FINRA CRD) for your protection.
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Christopher Paul Swales operates Swales Financial LLC in Erie, Colorado, bringing 13 years of experience in financial advisory services. He holds a FINRA CRD registration (License #5023622), which governs his professional activities in securities and investment advice. With over a decade in the industry, Swales works with clients seeking guidance on financial planning and investment decisions. His registration reflects compliance with federal regulatory standards for financial professionals.
Christopher Paul Swales' FINRA CRD registration indicates he is registered with the Financial Industry Regulatory Authority, the primary self-regulatory organization overseeing securities professionals in the United States. This registration means he is authorized to provide investment advice and securities-related services, and his activities are subject to FINRA's rules and oversight. The CRD (Central Registration Depository) system maintains his professional history, disciplinary records, and licensing information, which are publicly accessible. This registration signals that Swales meets baseline competency and compliance standards required to operate in the securities industry.