Unclaimed Profile

Christopher John Swanson

COMPASS FINANCIAL ADVISORS LLC·FORT WAYNE, Indiana

SIE, Series 3, Series 4, Series 7, Series 24, Series 28, Series 52TO, Series 53, Series 63, Series 99TO27 years registeredCOMPASS FINANCIAL ADVISORS LLC

9933 DUPONT CIRCLE DRIVE WEST, FORT WAYNE, IN 46825CRD# 1233703Firm CRD# 109131

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Christopher John Swanson · FORT WAYNE, IN

Registration

CRD #1233703 · COMPASS FINANCIAL ADVISORS LLC · 27 years registered

Brand Profile

Not yet started

Career History

COMPASS FINANCIAL ADVISORS LLC

Oct 2012 – present

GREGORY ZENT & SWANSON, INC.

Dec 1998 – Dec 2012

FORT WAYNE, IN

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 4

Series 7

Series 24

Series 28

Series 52TO

Series 53

Series 63

Series 99TO

Registration record

First registered · December 8, 1998

Years registered · 27

Disclosure History

1977Criminal·Final Disposition

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

COMPASS FINANCIAL ADVISORS LLC

CRD 109131 · SEC 801-56002

AUM

$231M

Regulatory assets under management

Employees

730 client accounts

Services offered by COMPASS FINANCIAL ADVISORS LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at COMPASS FINANCIAL ADVISORS LLC →

Introduction

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Frequently Asked Questions

What services does Christopher John Swanson offer?

Christopher John Swanson specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in FORT WAYNE, Indiana for a consultation.

What are Christopher John Swanson's credentials?

Christopher John Swanson is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Christopher John Swanson located?

Christopher John Swanson is based in FORT WAYNE, Indiana, working with COMPASS FINANCIAL ADVISORS LLC. Their office serves clients in the FORT WAYNE metropolitan area and surrounding communities.

How does Christopher John Swanson charge for services?

Christopher John Swanson's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is COMPASS FINANCIAL ADVISORS LLC?

COMPASS FINANCIAL ADVISORS LLC has approximately 9 employees and manages $231M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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