Craig Ray Swann

CRD 3103071 · Wells Fargo Advisors · Dallas, TX

IA RegisteredBroker

Also appears in the source record as: Craig R Swann

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 31Series 7Series 24Series 65Series 63
Registered states (28): Alabama · Arizona · California · Colorado · Delaware · District Of Columbia · Florida · Georgia · Idaho · Illinois · Kansas · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Nebraska · Nevada · New Jersey · New York · Oklahoma · Puerto Rico · South Carolina · Texas · Utah · Wyoming
Years in the industry (source record): 24
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (13)

From the source registration record · current first

Wells Fargo Clearing Services, LLCCurrent
Dallas, TX · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Dallas, TX · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Dallas, TX · IA capacity

start not retrieved → present
Credit Suisse Securities (USA) LLC
Dallas, TX · IA capacity

May 19, 2015 → Dec 28, 2015
Credit Suisse Securities (USA) LLC
Dallas, TX · BC capacity

May 15, 2015 → Dec 28, 2015
J.P. Morgan Securities LLC
Dallas, TX · BC capacity

Jun 24, 2013 → Jun 4, 2015
Pinebridge Securities LLC
Dallas, TX · BC capacity

Jun 24, 2010 → Jul 6, 2012
Quasar Distributors, LLC
Portland, ME · BC capacity

Jun 19, 2006 → Dec 31, 2008
Hibernia Southcoast Capital, Inc.
New Orleans, LA · BC capacity

May 28, 2004 → Apr 17, 2006
Banc Of America Investment Services, Inc.
Garland, TX · IA capacity

Aug 28, 2002 → May 17, 2004
Banc Of America Investment Services, Inc.
Boston, MA · BC capacity

Aug 28, 2002 → May 17, 2004
Morgan Stanley
Dallas, TX · IA capacity

Feb 3, 1999 → Aug 22, 2002
Morgan Stanley Dw Inc.
Purchase, NY · BC capacity

Jan 8, 1999 → Aug 22, 2002

Source & corrections

Where this page comes from

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