Nicholas Swanson has been an investment adviser representative at Marin Capital Management since July 2026, and is not listed among the firm’s executive officers or direct owners.
Marin Capital Management, LLC is a Novato, CA firm with $171M under management, 85 clients and 6 advisers across 7 offices, as of its August 2026 filing.
Nicholas Swanson’s longest registration was 2 years at Empower Advisory Group, LLC (2023–2025). Before joining Marin Capital Management in 2026, Nicholas Swanson was registered through Savvy and Empower Advisory Group, LLC.
- Savvy– · under a yearArvada, CO · Adviser representative · Firm CRD 318493
- Empower Advisory Group, LLC– · 2 yearsGreenwood Village, CO · Adviser representative · Firm CRD 112058
- Personal Capital Advisors Corporation– · under a yearWheat Ridge, CO · Adviser representative · Firm CRD 155172
- Fisher Investments– · 1 yearCamas, WA · Adviser representative · Firm CRD 107342
Investment adviser representative registrations
Nicholas Swanson is registered as an investment adviser representative in 2 states. Each was approved in July 2026.
- CaliforniaSince 3 July 2026
- ColoradoSince 1 July 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 7 February 2020 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 2 April 2018 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 8 January 2018 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Nicholas Peter Swanson
- CRD
- 6500770
- Firm
- Marin Capital Management · CRD 136075
- Office
- Arvada, CO
- Registration
- Investment adviser registration
- In the industry since
- November 2018
- Disciplinary history
- Not yet shown here · SEC record
Where does Nicholas Swanson work?
Nicholas Swanson is an investment adviser representative registered through Marin Capital Management, LLC since July 2026, and is not listed among the firm’s executive officers or direct owners.
Is Nicholas Swanson a financial advisor?
Yes. Nicholas Swanson has a current investment-adviser registration in California and Colorado, through Marin Capital Management since July 2026.
How many years of experience does Nicholas Swanson have?
Nicholas Swanson has 7 years in the financial industry, since November 2018, across 5 adviser firms.
What exams has Nicholas Swanson passed?
Nicholas Swanson has passed 3 licensing exams: the Series 6, Series 63 and Series 65. The earliest, the Series 6, was passed in January 2018. FINRA credited Nicholas Swanson with the SIE, which began in October 2018.
Where did Nicholas Swanson work before Marin Capital Management?
Before Marin Capital Management, Nicholas Swanson was registered through Savvy, August 2025 to June 2026; Empower Advisory Group, LLC, April 2023 to August 2025; Personal Capital Advisors Corporation, May 2022 to April 2023; Fisher Investments, February 2020 to August 2021.
Where is Nicholas Swanson based?
Nicholas Swanson’s registered office is in Arvada, CO.
Is Nicholas Swanson registered with FINRA?
No. Nicholas Swanson has no current broker registration.
How can I verify Nicholas Swanson’s record?
Search CRD 6500770 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Nicholas Swanson’s full registration record.