Unclaimed Profile

Leah Marie Swanson

PALACE CAPITAL MANAGEMENT LLC·SANTA FE, New Mexico

SIE, Series 6, Series 7, Series 63, Series 66Clean record10 years registeredPALACE CAPITAL MANAGEMENT LLC

504 E. PALACE AVENUE, SANTA FE, NM 87501CRD# 2893549Firm CRD# 124859

Profile Verification

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

Identity

Leah Marie Swanson · SANTA FE, NM

Registration

CRD #2893549 · PALACE CAPITAL MANAGEMENT LLC · 10 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: PALACE CAPITAL MANAGEMENT LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Sep 2025 – Oct 2025

SANTA FE, NM

THORNBURG INVESTMENT MANAGEMENT INC

Sep 2015 – Jul 2024

SANTA FE, NM

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 63

Series 66

Registration record

First registered · September 2, 2015

Years registered · 10

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

PALACE CAPITAL MANAGEMENT LLC

CRD 124859 · SEC 801-61753

AUM

$48M

Regulatory assets under management

Employees

3 client accounts

Services offered by PALACE CAPITAL MANAGEMENT LLC

Per Form ADV

Portfolio management (individuals)

Pension consulting

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

View all advisors at PALACE CAPITAL MANAGEMENT LLC →

Introduction

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Frequently Asked Questions

What services does Leah Marie Swanson offer?

Leah Marie Swanson specializes in Investment Management, Retirement Planning.

What are Leah Marie Swanson's credentials?

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

Where is Leah Marie Swanson located?

Leah Marie Swanson is based in SANTA FE, New Mexico, last registered with PALACE CAPITAL MANAGEMENT LLC.

How does Leah Marie Swanson charge for services?

Leah Marie Swanson's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is PALACE CAPITAL MANAGEMENT LLC?

PALACE CAPITAL MANAGEMENT LLC has approximately 1 employees and manages $48M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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