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Douglas Dirk Swanson is a financial_advisor professional located in Warrenville, IL. They specialize in financial advisory.
Douglas Dirk Swanson - Lasalle St. Investment Advisors, L.L.C. holds an active professional license (FINRA CRD) for your protection.
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Douglas Dirk Swanson operates Lasalle St. Investment Advisors, L.L.C. in Warrenville, Illinois, providing financial advisory services. The firm is registered with FINRA CRD, which maintains oversight of investment professionals and their conduct in the securities industry. This registration helps ensure compliance with regulatory standards and provides a mechanism for public accountability in financial advisory practices.
A FINRA CRD registration indicates that the advisor operates under the regulatory framework of the Financial Industry Regulatory Authority. This registration means the advisor and their firm are subject to FINRA's rules, examinations, and disciplinary processes. FINRA CRD registration provides a standardized record of the advisor's background, qualifications, and any regulatory history, which is publicly accessible. This oversight helps protect investors by establishing professional standards and accountability mechanisms within the securities industry.