Keaton Swayze

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (5)

Series 66Series 63SIESeries 7Series 6

Registered states (52)

Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming

Years in the industry (source record)

25

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

Current firm

From the firm record

Firm

Fidelity Brokerage Services LLC

Firm CRD

7784

SEC number

Not yet retrieved from the source record

Assets under management

Not yet retrieved from the source record

Website

Not yet retrieved from the source record

Phone

Not yet retrieved from the source record

Firm location

Not yet retrieved from the source record

Employment history (22)

From the source registration record · current first

• Strategic Advisers LLCCurrent

  Spring, TX · IA capacity
  Mar 31, 2025 → present
• Fidelity Brokerage Services LLCCurrent

  Spring, TX · BD capacity
  Aug 16, 2013 → present
• Fidelity Brokerage Services LLCCurrent

  Smithfield, RI · BC capacity
  start not retrieved → present
• Fidelity Personal And Workplace Advisors

  IA capacity
  Jul 13, 2018 → Mar 31, 2025
• Strategic Advisers LLC

  IA capacity
  Sep 11, 2013 → Jul 13, 2018
• Strategic Advisers, Inc.

  IA capacity
  Jun 1, 2011 → Feb 4, 2013
• Fidelity Brokerage Services LLC

  BD capacity
  May 2, 2011 → Jan 30, 2013
• Wells Fargo Investments, LLC

  BD capacity
  Mar 16, 2010 → Nov 23, 2010
• Wells Fargo Investments, LLC

  IA capacity
  Mar 16, 2010 → Nov 23, 2010
• Chase Investment Services Corp.

  IA capacity
  Sep 24, 2009 → Jan 20, 2010
• Chase Investment Services Corp.

  BD capacity
  Sep 18, 2009 → Jan 20, 2010
• Wells Fargo Investments, LLC

  IA capacity
  Apr 7, 2009 → Aug 31, 2009
• Wells Fargo Investments, LLC

  BD capacity
  Apr 2, 2009 → Aug 31, 2009
• Proequities, Inc.

  BD capacity
  Feb 7, 2008 → Feb 25, 2009
• Riversource Distributors, Inc.

  BD capacity
  Jan 1, 2007 → Jan 3, 2008
• Ameriprise Financial Services, Inc.

  BD capacity
  Apr 11, 2006 → Jan 1, 2007
• Chase Investment Services Corp.

  BD capacity
  Jul 6, 2005 → Mar 20, 2006
• Chase Investment Services Corp.

  IA capacity
  Jul 6, 2005 → Mar 20, 2006
• Banc One Securities Corporation

  IA capacity
  Jun 27, 2005 → Jul 6, 2005
• Banc One Securities Corporation

  BD capacity
  Apr 19, 2005 → Jul 6, 2005
• Wm Financial Services, Inc.

  BD capacity
  Sep 23, 2002 → Dec 17, 2004
• Metlife Investors Distribution Company

  BD capacity
  Oct 2, 2001 → Aug 29, 2002

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.