Career
Stephen Swanson has been Chief Legal Officer of Valor Management since August 2021. Stephen Swanson is a control person of the firm and directly owns under 5% of it. Stephen Swanson holds a Juris Doctor from Duke University School of Law and a BA from Cornell University.
Valor Management LLC is a Chicago, IL firm with $59.3B under management, 57 clients and 68 advisers across 6 offices, as of its April 2026 filing.
Valor says Stephen Swanson joined in 2021 as chief legal officer after legal roles at Invesco and AllianceBernstein.
No adviser firm registrations are on Stephen Swanson’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 23 September 2013 |
| Series 79 | Investment Banking Registered Representative Examination | 6 September 2013 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Banking Registered Representative Examination
Individual record
- Full name
- Stephen William Swanson
- CRD
- 1723258
- Firm bio
- valorep.com
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Stephen Swanson work?
Stephen Swanson has been Chief Legal Officer of Valor Management LLC since August 2021, and is a control person of the firm.
Does Stephen Swanson have a current investment-adviser registration?
Stephen Swanson has no current investment-adviser or broker registration.
What exams has Stephen Swanson passed?
Stephen Swanson has passed 2 licensing exams: the Series 79 and Series 63. The earliest, the Series 79, was passed in September 2013. FINRA credited Stephen Swanson with the SIE, which began in October 2018.