Kevin Swanson has been Kingsview Investment Management - Compliance Director of Kingsview Wealth Management since January 2021, is a control person of the firm and directly owns under 5% of it. Kevin Swanson holds an MBA with High Honors from The University of Chicago Booth School of Business. Kevin Swanson studied MSEE at National Technological University. Kevin Swanson studied BSEE at the University of Illinois at Urbana-Champaign.
Kingsview Wealth Management, LLC is a Grants Pass, OR firm with $8.96B under management, 12,309 clients and 95 advisers across 47 offices, as of its July 2026 filing.
Kevin Swanson is Chief Operating Officer of Kingsview Investment Management, overseeing all aspects of the firm's investment management division. From 2021 through 2024 he served as Chief Compliance Officer of Kingsview Investment Management, responsible for policies and procedures related to marketing, performance and management of the firm's Monarch Funds. Previously at Cedar Capital, LLC, he served as Chief Compliance Officer, and he has also served as Vice President of Trading.
No adviser firm registrations are on Kevin Swanson’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 6 September 2017 |
| Series 24 | General Securities Principal Examination | 14 August 2017 |
| Series 7 | General Securities Representative Examination | 19 August 2015 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Full name
- Kevin W Swanson
- CRD
- 6534417
- Firm
- Kingsview Wealth Management · CRD 148107
- Role
- Kingsview Investment Management - Compliance Director
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- kingsviewim.com
Where does Kevin Swanson work?
Kevin Swanson has been Kingsview Investment Management - Compliance Director of Kingsview Wealth Management, LLC since January 2021, and is a control person of the firm.
Does Kevin Swanson have a current investment-adviser registration?
Kevin Swanson has a current broker registration and no current investment-adviser registration.
What exams has Kevin Swanson passed?
Kevin Swanson has passed 3 licensing exams: the Series 7, Series 24 and Series 63. The earliest, the Series 7, was passed in August 2015. FINRA credited Kevin Swanson with the SIE, which began in October 2018.
Is Kevin Swanson registered with FINRA?
Yes. Kevin Swanson has a current broker registration, under CRD 6534417.
Source: FINRA BrokerCheck
How can I verify Kevin Swanson’s record?
Search CRD 6534417 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Kevin Swanson’s full registration record.
